Frank B. Goodman

MERCURY INVESTMENT GROUP

Memphis, TN 38103

Some features on this profile are disabled

CRD#: 1556863

Professional summary

Frank B Goodman III, who also goes by Frank B Goodman, is a registered financial advisor currently at MERCURY INVESTMENT GROUP located in Memphis, Tennessee.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Frank has worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank B 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) - RIA

Click below to view Frank B Goodman III'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

March 12, 2007 - Present

MERCURY INVESTMENT GROUP

Office #1: 40 South Main Street Suite 1530, Memphis, TN 38103

RIA

CRD#: 125245

Memphis, TN

Past

January 23, 2004 - December 31, 2006

MERCURY INVESTMENT GROUP

RIA

CRD#: 125245

MEMPHIS, TN

Past

September 26, 1986 - June 5, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MERCURY INVESTMENT GROUP

G H E, LLC | MERCURY INVESTMENT GROUP | GHE, LLC

CRD#: 125245 / SEC#: 801-121636

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

Tennessee

Registered Investment Advisory firm - (11/15/2021 Terminated)

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).

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

Tennessee
(3/12/2007)

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

Series 63

Date: 9/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/27/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Current Firm

MERCURY INVESTMENT GROUP

G H E, LLC | MERCURY INVESTMENT GROUP | GHE, LLC

CRD#: 125245 / SEC#: 801-121636

RIA

Registered Investment Advisory firm - (7/1/2021 Approved)

Tennessee

Registered Investment Advisory firm - (11/15/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

40 S. Main St. Suite 1720, Memphis, TN 38103-5502

Mailing Address

1138 North Germantown Pkwy Suite 101, P O Box 315, Cordova, TN 38016

Phone number

(901) 327-2788

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERCURY INVESTMENT GROUP (3/17/2025)

Regulatory assets under management

Total Number of Accounts	117
AUM (Assets Under Management)	$ 272,321,199

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.

Similar Advisors

Stacey Hyde

ENVISION FINANCIAL PLANNING, LLC

IAR

Memphis, TN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frank B. Goodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank B Goodman III's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCURY INVESTMENT GROUP

MERCURY INVESTMENT GROUP

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MERCURY INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/1986

Series 3

Date: 10/27/1986

Series 7

Date: 9/20/1986

Current Firm

MERCURY INVESTMENT GROUP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MERCURY INVESTMENT GROUP

TRUST BUT VERIFY

Similar Advisors