Gregory S. 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.
Gregory Scott Goodman was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1994. Gregory had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2014 - November 4, 2014
TD AMERITRADE, INC.
May 7, 2014 - November 4, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 7, 2014 - November 4, 2014
TD AMERITRADE, INC.
January 18, 2012 - May 18, 2012
CROWELL, WEEDON & CO.
October 11, 2011 - May 18, 2012
CROWELL, WEEDON & CO.
February 20, 2004 - July 26, 2010
CHARLES SCHWAB & CO., INC.
April 1, 1998 - July 25, 2002
DREYFUS BROKERAGE SERVICES, INC.
September 9, 1994 - October 28, 1997
NEBRASKA HUDSON COMPANY, INC.
February 1, 1994 - June 7, 1994
DREYFUS BROKERAGE SERVICES, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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