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HG

Henry N. Goodman

KINGSROCK SECURITIES
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 1789359
HG

Professional summary

Henry Nathan Goodman is a registered financial professional currently at KINGSROCK SECURITIES LLC located in New York, New York.

Henry is registered as a RR (Registered Representative) and started their career in finance in 1988. Henry has worked at 11 firms and has passed the Series 63, Series 65, Series 79TO, Series 82TO, Series 3, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Henry Nathan Goodman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 6, 2026 - Present

KINGSROCK SECURITIES LLC

Office #1: 900 Third Avenue, Suite 1801, New York, NY 10022
BD
CRD#: 325143
NEW YORK, NY
Past

July 10, 2023 - December 2, 2024

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

April 29, 2016 - June 12, 2020

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

January 22, 2016 - April 29, 2016

BRYANT PARK CAPITAL SECURITIES, INC.

BD
CRD#: 20433
NEW YORK, NY
Past

March 5, 2007 - February 13, 2014

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 30, 2006 - March 7, 2007

SANDERS MORRIS LLC

BD
CRD#: 20580
GREENWICH, CT
Past

November 6, 2002 - February 28, 2006

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

June 17, 1999 - February 6, 2004

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

July 21, 1998 - May 25, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

April 23, 1996 - July 15, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 19, 1991 - April 11, 1996

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 1, 1990 - September 7, 1990

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

February 23, 1988 - August 15, 1989

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(5/11/2026)
RR
New York
(5/12/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/28/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/30/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 7/10/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 3
Date: 5/31/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/3/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

KS
KINGSROCK SECURITIES LLC
KINGSROCK SECURITIES LLC

CRD#: 325143 / SEC#: , 8-71064

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
900 Third Avenue, Suite 1801, New York, NY 10022
Mailing Address
900 Third Avenue, Suite 1801, New York, NY 10022
Phone number
(917) 992-4544
Established
Delaware since 01/20/2023
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KINGSROCK ADVISORS LLCMEMBER
GOODE, JACQUELINE MARIECCO1292607
JAFFE, LOUIS STEVENCHIEF EXECUTIVE OFFICER & MANAGING PARTNER2310182
PLOTYCIA, STEVEN WILLIAMFINOP/POO/PFO5293014
WOHLIN, HAKAN NILSMANAGING PARTNER2329972

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.

Company Information

KINGSROCK SECURITIES LLC

CRD#: 325143New York, NY 10022

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