William E. Goodman

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 1501128

Professional summary

William Ernest Goodman, who also goes by Sandy Goodman, William E Goodman, William Earnest Goodman, William Ernest Goodman V, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1997. William has worked at 9 firms and has passed the Series 63, Series 3, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandy Goodman | William E Goodman | William Earnest Goodman | William Ernest Goodman V

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) - BD

Click below to view William Ernest Goodman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 28, 2022 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

November 12, 2019 - September 30, 2022

PINNACLE CAPITAL SECURITIES, LLC

CRD#: 106213

Long Beach, CA

Past

October 4, 2019 - November 14, 2019

COMMONGOOD SECURITIES LLC

CRD#: 289317

Manhattan Beach, CA

Past

May 11, 2017 - September 30, 2019

FRONTIER SOLUTIONS, LLC

CRD#: 136102

Manhattan Beach, CA

Past

July 29, 2016 - March 6, 2017

FIVE 9 SECURITIES, LLC

CRD#: 114853

LADERA RANCH, CA

Past

November 14, 2008 - August 12, 2014

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

PASADENA, CA

Past

December 1, 2005 - December 31, 2006

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

September 30, 2003 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 11, 2001 - September 30, 2003

HOWARD WEIL INCORPORATED

CRD#: 30958

NEW ORLEANS, LA

Past

February 3, 1997 - August 11, 2001

ARROYO SECO, INC.

CRD#: 39387

PASADENA, CA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/28/2022)

Delaware
(1/12/2024)

New York
(1/22/2025)

Exams

State Security Law Exam

Series 63

Date: 11/20/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/16/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/10/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

228 Park Ave South Suite 85550, New York, NY 10003

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINALIS, INC.	HOLDING COMPANY
AZARY, DENNIS MICHAEL	CEO/CCO/FINOP	2384263

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

William E. Goodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Ernest Goodman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE CAPITAL SECURITIES, LLC

COMMONGOOD SECURITIES LLC

FRONTIER SOLUTIONS, LLC

FIVE 9 SECURITIES, LLC

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC

LEGG MASON WOOD WALKER, INCORPORATED

HOWARD WEIL INCORPORATED

ARROYO SECO, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/20/1996

Series 3

Date: 12/16/2021

SIE

Date: 10/1/2018

Series 7

Date: 11/25/2002

Series 6

Date: 10/10/1995

FINRA

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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