Tom 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.
Tom Samuel Goodman was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1969. Tom had worked at 8 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2021 - August 12, 2022
CADARET, GRANT & CO., INC.
April 7, 2021 - August 12, 2022
CADARET, GRANT & CO., INC.
March 1, 2018 - August 12, 2022
CEDAR BROOK GROUP
November 13, 2006 - November 5, 2019
SECURITIES AMERICA ADVISORS, INC.
November 10, 2006 - April 13, 2021
SECURITIES AMERICA, INC.
January 1, 2000 - November 17, 2006
OSAIC FA, INC.
April 8, 1983 - December 17, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 12, 1969 - May 8, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 12, 1969 - November 17, 2006
OSAIC FA, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/7/1969
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
