Kenneth R. Goodall
Professional summary
Kenneth Ray Goodall, who also goes by Ken Goodall, is a registered financial professional currently at ITAU BBA USA SECURITIES, INC. located in New York, New York.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1996. Kenneth has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Ray Goodall's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2018 - Present
ITAU BBA USA SECURITIES, INC.
Office #1: 599 Lexington Avenue 34th Floor, New York, NY, 10022June 23, 2014 - February 15, 2018
PARK AVENUE SECURITIES LLC
December 3, 2013 - May 7, 2014
WOODBURY FINANCIAL SERVICES, INC.
December 3, 2013 - May 7, 2014
OSAIC SERVICES, INC.
December 3, 2013 - May 7, 2014
OSAIC WEALTH, INC.
December 3, 2013 - May 7, 2014
FSC SECURITIES CORPORATION
May 5, 2011 - March 5, 2013
BESSEMER INVESTOR SERVICES, INC.
March 25, 2003 - January 31, 2011
NEWPORT GROUP SECURITIES, INC.
September 6, 2000 - March 3, 2003
INVESCO CAPITAL MARKETS, INC.
July 7, 1997 - August 29, 2000
COMPULIFE INVESTOR SERVICES, INC.
May 12, 1997 - August 29, 2000
IFG NETWORK SECURITIES, INC.
March 12, 1996 - April 14, 1997
PFS INVESTMENTS INC.
Primary Firm SEC Registration
ITAU BBA USA SECURITIES, INC.
CRD#: 118817 / SEC#: 801-128491, 8-53702
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/28/2018)
Exams
FINRA
Current Firm
ITAU BBA USA SECURITIES, INC.
CRD#: 118817 / SEC#: 801-128491, 8-53702
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ITB HOLDING BRASIL PARTICIPAÇÕES LTD | DIRECT OWNER | |
| DUKES, MATTHEW GARDNER | EXECUTIVE REPRESENTATIVE | 4830845 |
| GLYNN, MICHAEL GERARD | FINOP | 3219445 |
| GOODALL, KENNETH RAY | CHIEF COMPLIANCE OFFICER | 2682569 |
| LINNET, LEONARD BRUNO | DIRECTOR | 4400967 |
| MCCLANAN, JULIA CHEN | DIRECTOR | 4591590 |
| WILBERG, FELIPE WEIL | DIRECTOR | 2568663 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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