Mark H. Goodson
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.
Mark Henry Goodson was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1990. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 24, Series 27, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2014 - January 21, 2016
CAPITAL INVESTMENT GROUP, INC.
June 25, 2014 - November 21, 2014
LPL FINANCIAL LLC
May 7, 2009 - June 19, 2014
FIRST BALLANTYNE, LLC
September 26, 2005 - January 2, 2008
ARGENT SECURITIES CO. LLC
May 21, 2002 - June 13, 2003
ARGENT CLASSIC CONVERTIBLE ARBITRAGE FUND L.P.
October 10, 2001 - May 2, 2002
BACAP DISTRIBUTORS, LLC
October 1, 2000 - August 21, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 17, 1998 - March 23, 1999
CAPTRUST FINANCIAL ADVISORS, LLC
September 1, 1995 - April 24, 1998
WACHOVIA SECURITIES, INC.
June 21, 1990 - October 25, 1994
WACHOVIA SECURITIES, INC.
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
Series 8
Date: 6/24/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL INVESTMENT GROUP, INC.
CRD#: 14752 / SEC#: , 8-31225
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| R.B.S.B. FAMILY TRUST | OWNER | |
| NICHOLSON, WILLIAM BATEMAN SR | SHAREHOLDER | 2585041 |
| BATTLE, RICHARD STAATS | SHAREHOLDER | 2349045 |
| BROOKS, BENJAMIN TIMOTHY III | PRESIDENT | 2206321 |
| BRYANT, RICHARD KING | CEO/TREASURER/FINOP/CO-TRUSTEE | 1069685 |
| DRESSLER, KURT ALAN | SHAREHOLDER | 2381036 |
| EDDINS, WILLIAM HAROLD JR | ASSISTANT VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | ASSISTANT VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
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.
