Neil E. Goodrich
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.
Neil Ernest Goodrich was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1974. Neil had worked at 7 firms and has passed the Series 63, 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
January 9, 2001 - December 31, 2016
CADARET, GRANT & CO., INC.
May 3, 1999 - January 16, 2001
PARK AVENUE SECURITIES LLC
November 2, 1990 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
June 18, 1990 - October 18, 1990
WS GRIFFITH SECURITIES, INC.
June 18, 1990 - October 18, 1990
HOME LIFE INSURANCE COMPANY
May 26, 1977 - June 26, 1990
TOWER SQUARE SECURITIES, INC.
January 1, 1974 - August 17, 1975
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 12/22/1973
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
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 |
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.
