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BG

Barry J. Goodman

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CRD#: 1493784
BG

Professional summary

Barry Jeffrey Goodman was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Barry is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Barry had worked at 3 firms, which includes GLEACHER & COMPANY SECURITIES INC., UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Barry Jeffery Goodman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 20, 1996 - November 18, 1998

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

July 8, 1994 - March 15, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 9, 1991 - July 22, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/1991
General Securities Representative Examination

Current Firm

G&
GLEACHER & COMPANY SECURITIES, INC.
BROADPOINT CAPITAL, INC. | GLEACHER & COMPANY SECURITIES, INC. | FIRST ALBANY CORPORATION | FIRST ALBANY CAPITAL INC.

CRD#: 298 / SEC#: , 8-2018

BD
Terminated by SEC on 05/31/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/25/1952
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GLEACHER & COMPANY, INC.SHAREHOLDER
ARCIERO-CRAIG, PATRICIA ANNGENERAL COUNSEL/SECRETARY/DIRECTOR
EDMISTON, BRYAN JOSEPHFINOP5743897
EDMISTON, BRYAN JOSEPHCHIEF FINANCIAL OFFICER/DIRECTOR5743897
KWOK, ANNISCHIEF COMPLIANCE OFFICER5822123

Disclosures

Regulatory Event33
Civil Event1
Arbitration10

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.

Company Information

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

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