Robert M. Goodman
Professional summary
Robert M Goodman is a registered financial professional currently at ERG SECURITIES (US) LLC located in Norwalk, 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert M Goodman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2016 - Present
ERG SECURITIES (US) LLC
Office #1: 50 Washington Street, Suite 921, Norwalk, CT 06854September 9, 2013 - July 19, 2016
CANACCORD GENUITY LLC
August 5, 2013 - September 3, 2013
SANTANDER US CAPITAL MARKETS LLC
June 3, 2013 - September 3, 2013
PIERPONT CAPITAL ADVISORS LLC
April 4, 2011 - June 4, 2013
GLOBAL HUNTER SECURITIES, LLC
April 17, 1993 - April 6, 2011
CRT CAPITAL GROUP LLC
June 30, 1992 - March 25, 1993
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 11/13/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ERG SECURITIES (US) LLC
CRD#: 121057 / SEC#: , 8-65376
Contact information
FINRA licenses (16 States and Territories)
Documents
Red Flags
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