Dennis M. Good
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis Marlin Good was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1985. Dennis had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2011 - December 18, 2024
TRICORD ADVISORS, INC.
January 29, 2008 - April 7, 2011
LIBERTY GROUP, LLC
April 29, 1987 - March 27, 1996
MASTERS CAPITAL, INC.
March 19, 1985 - January 1, 1988
GREATER PACIFIC SECURITIES,INC.
Primary Firm SEC Registration
TRICORD ADVISORS, INC.
CRD#: 155749 / SEC#: 801-113764
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRICORD ADVISORS, INC.
CRD#: 155749 / SEC#: 801-113764
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,032 |
| AUM (Assets Under Management) | $ 261,667,250 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/07/2025 | ||
| 04/30/2024 | ||
| 04/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
