James W. Goodfriend
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.
James William Goodfriend JR, who also goes by James William Goodfriend, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 42, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2009 - September 1, 2015
NEXT FINANCIAL GROUP, INC.
January 16, 2009 - September 1, 2015
NEXT FINANCIAL GROUP, INC.
October 31, 2005 - January 22, 2009
OSAIC SERVICES, INC.
October 31, 2005 - January 22, 2009
OSAIC SERVICES, INC.
August 28, 2002 - October 31, 2005
SENTRA SECURITIES CORPORATION
July 26, 2002 - October 31, 2005
SENTRA SECURITIES CORPORATION
August 13, 1998 - August 2, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 6, 1998 - August 2, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 23, 1998 - July 27, 1998
LEGEND EQUITIES CORPORATION
February 11, 1982 - March 23, 1998
PRUCO SECURITIES, LLC.
February 5, 1969 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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
Series 42
Date: 12/22/1998
Registered Options Representative ExaminationSeries 1
Date: 1/28/1969
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
