Brian L. Goding

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CRD#: 1683884

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.

Brian Lee Goding was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 5 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 20, 2021 - July 16, 2025

MARQUETTE ASSOCIATES, INC.

RIA

CRD#: 21572

St. Louis, MO

Past

October 24, 1995 - January 12, 2021

MARQUETTE ASSOCIATES, INC.

RIA

CRD#: 106956

ST. LOUIS, MO

Past

January 5, 1989 - December 31, 2012

COST CONTAINMENT SERVICES, INC.

CRD#: 22938

ST. LOUIS, MO

Past

July 13, 1988 - December 19, 1988

FIRST MIDWEST CAPITAL CORP.

CRD#: 18499

Past

June 23, 1987 - August 2, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

MARQUETTE ASSOCIATES, INC.

CRD#: 21572 / SEC#: 801-54006, 8-38967

RIA

Registered Investment Advisory firm - FINRA (3/25/1997 Approved)

Terminated by FINRA on 02/13/1990

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/3/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 10/18/1995

Financial and Operations Principal Examination

Current Firm

MARQUETTE ASSOCIATES, INC.

CRD#: 21572 / SEC#: 801-54006, 8-38967

RIA

Registered Investment Advisory firm - FINRA (3/25/1997 Approved)

Terminated by FINRA on 02/13/1990

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Contact information

Main Address

180 North Lasalle Street Suite 3500, Chicago, IL 60601

Mailing Address

Phone number

(312) 527-5500

Established

Illinois since 12/31/1986

Firm type

Corporation

Fiscal year end

# of Employees

140

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAI ADV 2A AA (3/26/2025)

Regulatory assets under management

Total Number of Accounts	256
AUM (Assets Under Management)	$ 35,573,596,704

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/15/2025	Cover Page	Report
07/19/2024	Cover Page	Report
10/24/2023	Cover Page	Report

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

Brian L. Goding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARQUETTE ASSOCIATES, INC.

COST CONTAINMENT SERVICES, INC.

FIRST MIDWEST CAPITAL CORP.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

MARQUETTE ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1987

Series 3

Date: 8/3/1987

Series 7

Date: 6/20/1987

Series 24

Date: 1/11/2001

Series 27

Date: 10/18/1995

Current Firm

MARQUETTE ASSOCIATES, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MARQUETTE ASSOCIATES, INC.

TRUST BUT VERIFY

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