Scott M. Goodman
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.
Scott Mitchel Goodman, who also goes by Scott Mitchell Goodman, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 14 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2000 - October 9, 2001
HAPOALIM SECURITIES USA, INC.
January 18, 2000 - November 21, 2000
JOSEPH DILLON & COMPANY INC.
May 14, 1998 - December 20, 1999
MORGAN GRANT CAPITAL CORP.
April 10, 1997 - April 15, 1998
ASH FINANCIAL CORP.
October 9, 1996 - November 5, 1996
FIRST METROPOLITAN SECURITIES, INC.
June 27, 1996 - August 27, 1996
BARRON CHASE SECURITIES, INC.
October 5, 1995 - April 11, 1996
EURO-ATLANTIC SECURITIES INC.
June 1, 1995 - August 24, 1995
BUTTONWOOD SECURITIES, INC.
October 12, 1994 - April 4, 1995
A. T. BROD & CO. INC.
June 28, 1994 - October 7, 1994
WESTFIELD FINANCIAL CORPORATION
June 4, 1993 - July 6, 1994
ROBERT TODD FINANCIAL CORP.
May 24, 1993 - June 28, 1993
BEACON SECURITIES, INC.
March 29, 1993 - May 4, 1993
GKN SECURITIES CORP.
August 17, 1992 - February 11, 1994
DUKE & CO., 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
Current Firm
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
