Victoria J. Goodwin
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.
Victoria Jane Goodwin, who also goes by VIctoria Jane Lewis, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1987. Victoria had worked at 5 firms and has passed the Series 63, SIE, 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
October 3, 2014 - February 1, 2016
AUERBACH GRAYSON & COMPANY LLC
July 1, 1997 - January 24, 2013
BNP PARIBAS SECURITIES CORP.
January 1, 1997 - July 2, 1997
ASIA EQUITY INC.
July 10, 1995 - October 11, 1996
CREDIT AGRICOLE SECURITIES (USA) INC.
January 8, 1987 - June 28, 1995
JAMES CAPEL INCORPORATED
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
AUERBACH GRAYSON & COMPANY LLC
CRD#: 30761 / SEC#: , 8-45136
Contact information
FINRA licenses (13 States and Territories)
Documents
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.
