Kenneth R. Goodall

ITAU BBA USA SECURITIES

NEW YORK, NY 10022

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CRD#: 2682569

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

Are you a "fiduciary"?

Aliases

Ken Goodall

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Ray Goodall'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®

None

Experience

Current

September 28, 2018 - Present

ITAU BBA USA SECURITIES, INC.

Office #1: 599 Lexington Avenue 34th Floor, New York, NY, 10022

RIA

CRD#: 118817

NEW YORK, NY

Past

June 23, 2014 - February 15, 2018

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

December 3, 2013 - May 7, 2014

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

December 3, 2013 - May 7, 2014

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

December 3, 2013 - May 7, 2014

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 3, 2013 - May 7, 2014

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

May 5, 2011 - March 5, 2013

BESSEMER INVESTOR SERVICES, INC.

CRD#: 17442

NEW YORK, NY

Past

March 25, 2003 - January 31, 2011

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

HEATHROW, FL

Past

September 6, 2000 - March 3, 2003

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

July 7, 1997 - August 29, 2000

COMPULIFE INVESTOR SERVICES, INC.

CRD#: 21543

ST. CLOUD, MN

Past

May 12, 1997 - August 29, 2000

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

March 12, 1996 - April 14, 1997

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ITAU BBA USA SECURITIES, INC.

ITAU BBA USA SECURITIES, INC. | ITAU USA SECURITIES INC. | ITAU SECURITIES INC.

CRD#: 118817 / SEC#: 801-128491, 8-53702

RIA

Registered Investment Advisory firm - SEC (9/11/2023 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(9/28/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/15/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/5/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 6/27/1996

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ITAU BBA USA SECURITIES, INC.

ITAU BBA USA SECURITIES, INC. | ITAU USA SECURITIES INC. | ITAU SECURITIES INC.

CRD#: 118817 / SEC#: 801-128491, 8-53702

RIA

Registered Investment Advisory firm - SEC (9/11/2023 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

599 Lexington Avenue 34th Floor 34th Floor, New York, NY, 10022

Mailing Address

599 Lexington Avenue 34th Floor, New York, NY, 10022

Phone number

(212) 845-0600

Established

Delaware since 11/06/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

ITAU BBA ADV PART 2A MARCH 2025 (3/31/2025)

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
PASCON BASTOS, FABIANA MRS.	DIRECTOR	7381972
WILBERG, FELIPE WEIL	DIRECTOR	2568663

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Kenneth R. Goodall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Ray Goodall's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

WOODBURY FINANCIAL SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

BESSEMER INVESTOR SERVICES, INC.

NEWPORT GROUP SECURITIES, INC.

INVESCO CAPITAL MARKETS, INC.

COMPULIFE INVESTOR SERVICES, INC.

IFG NETWORK SECURITIES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

ITAU BBA USA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1997

Series 6

Date: 2/15/1996

Series 24

Date: 3/5/1998

Series 26

Date: 6/27/1996

FINRA

Current Firm

ITAU BBA USA SECURITIES, INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ITAU BBA USA SECURITIES, INC.

TRUST BUT VERIFY

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