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Michael P. Goodbody

Some features on this profile are disabled
CRD#: 225076
MG

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.

Michael Pim Goodbody was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 11 firms and has passed the SIE, Series 000, Series 1, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2001 - October 17, 2016

W. H. MELL ASSOCIATES, INC.

BD
CRD#: 23635
SOUTH LONDONDERRY, VT
Past

October 30, 2000 - January 28, 2001

GARDNYR MICHAEL CAPITAL, INC.

BD
CRD#: 30520
MOBILE, AL
Past

March 7, 1989 - January 9, 2001

GREENWICH PARTNERS, LLC

BD
CRD#: 14074
STAMFORD, CT
Past

May 6, 1987 - December 19, 1988

GLICKENHAUS & CO.

BD
CRD#: 2016
NEW YORK, NY
Past

December 13, 1983 - May 11, 1987

MABON, NUGENT & CO.

BD
CRD#: 2617
Past

October 15, 1981 - July 20, 1984

J.J. LOWERY & CO

BD
CRD#: 10169
Past

January 31, 1980 - September 18, 1981

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

July 30, 1976 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

May 28, 1975 - September 3, 1976

WEEDEN & CO.

BD
CRD#: 878
Past

March 14, 1973 - August 1, 1974

LOEWI & CO., INCORPORATED

BD
CRD#: 526
Past

August 16, 1971 - January 1, 1973

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/17/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 000
Date: 8/12/1971
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 8/12/1971
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/12/1981
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/1979
General Securities Principal Examination

Current Firm

WH
W. H. MELL ASSOCIATES, INC.
COOGAN CAPITAL CORP | W. H. MELL INC. | W. H. MELL ASSOCIATES, INC.

CRD#: 23635 / SEC#: , 8-40608

BD
Terminated by SEC on 02/19/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 01/16/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MELL, STEVEN BRADLEYPRESIDENT2272807
BEATON, DANIEL STEWARTFINOP4240769
MELL, STEVEN BRADLEYCHIEF COMPLIANCE OFFICER2272807

Disclosures

Regulatory Event6

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.

Company Information

W. H. MELL ASSOCIATES, INC.

CRD#: 23635

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