Robert M Goodman
Professional Summary
Robert M Goodman is a registered financial advisor currently at ERG SECURITIES (US) LLC located in New Haven, Connecticut. Robert is registered as a RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 87, Series 86, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
ASPERION GROUP LLC | ERG SECURITIES (US) LLC
Contact Information
Main Address
157 Church Street 19th Floor, New Haven, CT 06510Mailing Address
157 Church Street 19th Floor, New Haven, CT 06510Phone Number
(646) 571-0173Established
Delaware since 04/26/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(5/13/2019)
(8/2/2016)
(8/2/2016)
(4/4/2018)
(12/20/2024)
(8/9/2016)
(8/2/2016)
(8/2/2016)
(8/5/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Nov 2019About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2005About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert M Goodman's CRS (Customer Relationship Summary).
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