Mark Christopher Goggin
Professional Summary
Mark Christopher Goggin, who also goes by Mark Goggin, is a registered financial advisor currently at TJM INVESTMENTS, LLC located in Chicago, Illinois. Mark is registered as a RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 4 firms and has passed the Series 57TO, SIE, Series 7 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mark Christopher Goggin, Mark Goggin
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Contact Information
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Disclosures on record.
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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Years of Experience
39 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC
Contact Information
Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606Phone Number
(312) 432-5100Established
Illinois since 10/13/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (34 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | — |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, PATRICK GERARD | MANAGING DIRECTOR | 5650034 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| WARD, BARRY DANIEL | MANAGING DIRECTOR | 1584523 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mark Christopher Goggin's CRS (Customer Relationship Summary).
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