Peter E. Goodman

SFI ADVISORS

Montclair, NJ 07042

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CRD#: 1826165

Professional summary

Peter Elliott Goodman is a registered financial advisor currently at SFI ADVISORS, LLC located in Montclair, New Jersey and PRIVATE CLIENT SERVICES, LLC located in Montclair, New Jersey.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Peter has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Retirement Advisors & Designers of America (RADA), 7425 Hollister, Houston, TX 07740. Executive committee member of study group for retirement planners. Investment related; 10 hours per month during trading hrs. SFI Insurance Services, 79 Midland Ave, Montclair, NJ 07042. Advisor & President; Non-investment related insurance sales and corporate benefits sales through various carriers. SFI Advisors LLC, 79 Midland Ave, Montclair, NJ 07042. Financial advisor & member of registered investment advisory firm. 60 hours/month, all during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Elliott 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 23, 2017 - Present

SFI ADVISORS, LLC

Office #1: 79 Midland Ave., Montclair, NJ 07042

RIA

CRD#: 287929

Montclair, NJ

Current

May 8, 2017 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 79 Midland Ave, Montclair, NJ 07042

RIA

CRD#: 120222

Montclair, NJ

Past

April 20, 2016 - May 16, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

MONTCLAIR, NJ

Past

June 20, 2002 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

MONTCLAIR, NJ

Past

December 1, 1997 - May 16, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

MONTCLAIR, NJ

Past

December 22, 1992 - December 31, 1994

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 3, 1989 - December 2, 1997

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

April 22, 1988 - December 16, 1989

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

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".

SFI ADVISORS, LLC

SFI ADVISORS | SFI ADVISORS, LLC

CRD#: 287929 / SEC#: 801-110293

RIA

Registered Investment Advisory firm - (4/11/2017 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(12/4/2019)

Georgia
(3/6/2024)

Massachusetts
(5/8/2017)

New Jersey
(5/8/2017)

IAR

New Jersey
(5/23/2017)

New York
(5/8/2017)

Pennsylvania
(5/8/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/6/1988

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: 4/16/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SFI ADVISORS, LLC

SFI ADVISORS | SFI ADVISORS, LLC

CRD#: 287929 / SEC#: 801-110293

RIA

Registered Investment Advisory firm - (4/11/2017 Approved)

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Contact information

Main Address

79 Midland Ave., Montclair, NJ 07042

Mailing Address

Phone number

(973) 744-1014

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SFI ADVISORS, LLC ADV PART 2 BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	301
AUM (Assets Under Management)	$ 173,000,000

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Peter E. Goodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Elliott Goodman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

CADARET, GRANT & CO., INC.

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

SFI ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/1988

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1988

FINRA

Current Firm

SFI ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SFI ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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