Steven 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.
Steven Goodrich, who also goes by Steve Goodrich, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1997. Steven had worked at 9 firms and has passed the Series 63, Series 99TO, Series 3, Series 34, SIE, Series 7, Series 6, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2019 - May 24, 2024
ALLY INVEST SECURITIES LLC
February 8, 2017 - March 5, 2019
CAPITAL ONE INVESTING, LLC
November 29, 2013 - August 20, 2015
J.P. MORGAN SECURITIES LLC
November 9, 2009 - December 12, 2011
TD AMERITRADE, INC.
June 4, 2009 - December 12, 2011
TD AMERITRADE CLEARING, INC.
September 3, 2002 - September 4, 2008
E*TRADE CLEARING LLC
March 19, 1999 - September 3, 2002
E*TRADE SECURITIES LLC
February 6, 1998 - February 18, 1999
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 15, 1997 - January 15, 1998
WELLS FARGO SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
