Curtis L. Gooch
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.
Curtis Littlefield Gooch, who also goes by Curtis L Gooch, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1997. Curtis had worked at 3 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2008 - August 14, 2020
BTIG, LLC
July 28, 2005 - July 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 1998 - July 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 1997 - February 24, 1998
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/14/2022
General Securities Representative ExaminationSeries 57TO
Date: 12/14/2022
Securities Trader ExamSeries 55
Date: 3/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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