Scott Goodman

EAGLE FINANCIAL ADVISORS

Santa Fe, NM

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CRD#: 1528909

Professional summary

Scott Goodman is a registered financial advisor currently at EAGLE FINANCIAL ADVISORS, LLC located in Santa Fe, New Mexico.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Scott has worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

EAGLE FINANCIAL GROUP INSURANCE AGENT INVESTMENT RELATED SINCE 05/2009 40 HRS. DURING TRADING HOURS 10 HRS. OUTSIDE TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Goodman's 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

July 21, 2015 - Present

EAGLE FINANCIAL ADVISORS, LLC

RIA

CRD#: 167696

Santa Fe, NM

Past

January 6, 2000 - August 14, 2001

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

January 11, 1996 - December 31, 1997

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

October 10, 1991 - December 31, 1993

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

April 20, 1989 - November 28, 1989

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

August 18, 1988 - April 27, 1989

PROFILE INVESTMENTS CORPORATION

CRD#: 16478

Past

November 3, 1987 - April 27, 1989

PROFILE INVESTMENTS CORPORATION

CRD#: 16478

Past

September 23, 1986 - September 23, 1987

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

August 21, 1986 - September 29, 1986

TOWER SQUARE SECURITIES, INC.

CRD#: 833

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(7/21/2015)

IAR

New Mexico
(6/6/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Current Firm

EAGLE FINANCIAL ADVISORS, LLC

CLA USA ADVISORY GROUP, LLC | EAGLE FINANCIAL ADVISORS, LLC

CRD#: 167696 / SEC#:

Arizona

Registered Investment Advisory firm - (6/16/2015 Approved)

Florida

Registered Investment Advisory firm - (5/21/2014 Approved)

Georgia

Registered Investment Advisory firm - (10/16/2014 Approved)

Illinois

Registered Investment Advisory firm - (4/1/2015 Approved)

Indiana

Registered Investment Advisory firm - (4/16/2021 Approved)

Louisiana

Registered Investment Advisory firm - (10/6/2014 Approved)

Michigan

Registered Investment Advisory firm - (6/11/2014 Approved)

Minnesota

Registered Investment Advisory firm - (11/2/2015 Approved)

Missouri

Registered Investment Advisory firm - (12/3/2014 Approved)

New Jersey

Registered Investment Advisory firm - (8/31/2019 Terminated)

New Mexico

Registered Investment Advisory firm - (6/5/2017 Approved)

North Carolina

Registered Investment Advisory firm - (1/17/2014 Approved)

Ohio

Registered Investment Advisory firm - (3/3/2014 Approved)

Oklahoma

Registered Investment Advisory firm - (4/23/2014 Approved)

Oregon

Registered Investment Advisory firm - (2/10/2014 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/13/2014 Approved)

Texas

Registered Investment Advisory firm - (9/16/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/19/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9300 Wade Blvd. Suite 100, Frisco, TX 75035

Mailing Address

Phone number

(800) 994-1317

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	373
AUM (Assets Under Management)	$ 86,998,719

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.

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Advisor Monitoring

Firm Stability Insights

Scott Goodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

USALLIANZ SECURITIES, INC.

NATIONAL PLANNING CORPORATION

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

PROFILE INVESTMENTS CORPORATION

PROFILE INVESTMENTS CORPORATION

THE STUART-JAMES COMPANY, INCORPORATED

TOWER SQUARE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2015

Series 63

Date: 3/22/2000

Series 7

Date: 8/16/1986

Current Firm

EAGLE FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EAGLE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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