Phillip M. Goodman

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CRD#: 1702920

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.

Phillip Michael Goodman, who also goes by Phil Goodman, was a registered financial professional .

Phillip is a previously registered financial professional and started their career in finance in 1987. Phillip had worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Phil 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)

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

October 30, 2017 - September 28, 2021

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

CHARLOTTE, NC

Past

October 30, 2017 - September 28, 2021

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

CHARLOTTE, NC

Past

July 20, 2011 - July 26, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHARLOTTE, NC

Past

August 2, 2007 - December 31, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHARLOTTE, NC

Past

August 2, 2007 - July 26, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

October 27, 2006 - May 25, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHARLOTTE, NC

Past

October 11, 2004 - May 25, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHARLOTTE, NC

Past

April 18, 2002 - December 11, 2003

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

August 28, 2001 - March 21, 2002

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

July 20, 1987 - May 16, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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

IAR

Series 65

Date: 7/19/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/26/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/16/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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Contact information

Main Address

9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269

Mailing Address

Phone number

(866) 560-7256

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA ALIGHT IRA ADV PART 2A 2B 03.12.25 (3/31/2025)

AFA PROFESSIONAL MANAGEMENT ADV PART 2A 2B 3.12.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	197,089
AUM (Assets Under Management)	$ 30,882,928,556

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

Phillip M. Goodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALIGHT FINANCIAL SOLUTIONS, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NATIONWIDE SECURITIES, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

ALIGHT FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2011

Series 66

Date: 10/26/2006

Series 63

Date: 10/16/1987

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2004

Series 6

Date: 7/16/1987

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGHT FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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