KG
Keith A. Goodman
MAXIM GROUP LLC
New York, NY 10022
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CRD#: 2428444
KG
Professional summary
Keith Andrew Goodman is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1993. Keith has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 4 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Keith Andrew Goodman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 8, 2011 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022BD
CRD#: 120708
New York, NY
Past
June 26, 2009 - August 9, 2011
HFP CAPITAL MARKETS LLC
BD
CRD#: 44351
NEW YORK, NY
Past
April 4, 2008 - July 24, 2009
JOSEPH GUNNAR & CO. LLC
BD
CRD#: 24795
NEW YORK, NY
Past
January 2, 2002 - April 8, 2008
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
January 2, 1998 - January 2, 2002
PRIME CHARTER LTD.
BD
CRD#: 25668
NEW YORK, NY
Past
December 13, 1993 - January 30, 1998
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/8/2011)
RR
Arizona(8/8/2011)
RR
California(8/8/2011)
RR
Colorado(11/14/2011)
RR
Connecticut(8/8/2011)
RR
Delaware(8/8/2011)
RR
District of Columbia(8/8/2011)
RR
Florida(8/8/2011)
RR
Georgia(8/8/2011)
RR
Illinois(8/8/2011)
RR
Indiana(2/21/2012)
RR
Iowa(7/21/2016)
RR
Louisiana(8/8/2011)
RR
Maryland(8/8/2011)
RR
Massachusetts(8/8/2011)
RR
Michigan(9/6/2011)
RR
Minnesota(11/4/2015)
RR
Mississippi(4/12/2017)
RR
Missouri(8/9/2011)
RR
Nevada(10/24/2013)
RR
New Jersey(8/8/2011)
RR
New Mexico(8/8/2011)
RR
New York(8/8/2011)
RR
North Carolina(8/17/2011)
RR
North Dakota(6/17/2024)
RR
Ohio(8/8/2011)
RR
Oregon(4/9/2013)
RR
Pennsylvania(8/8/2011)
RR
Puerto Rico(9/28/2011)
RR
South Dakota(7/11/2017)
RR
Tennessee(1/17/2014)
RR
Texas(8/8/2011)
RR
Utah(8/8/2011)
RR
Virginia(8/8/2011)
RR
Washington(8/9/2011)
RR
Wisconsin(8/8/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MG
MAXIM GROUP LLC
M-VEST (A WHOLLY OWNED DIVISION OF MAXIM GROUP) | MAXIM MERCHANT CAPITAL (A WHOLLY OWNED DIVISION OF MAXIM GROUP | MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
300 Park Ave 16th Floor, New York, NY 10022
Mailing Address
300 Park Ave 16th Floor, New York, NY 10022
Phone number
(212) 895-3500
Established
New York since 04/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
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.
