Barbara Goethe

JEFFERIES

Miami, FL

·CRD# 2998443·24 years experience

Professional Summary

Barbara Goethe is a registered financial advisor currently at JEFFERIES LLC located in Miami, Florida. Barbara is registered as a RR (Registered Representative) and started their career in finance in 1998. Barbara has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

24 years in the financial services industry

Current & Past Employments

JEFFERIES LLC·CRD# 2347

1450 Brickell Avenue Suite 1710, Miami, FL 33131

December 2, 2021 - Present

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

RIA

Miami, FL

October 14, 2020 - November 22, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

Miami, FL

April 17, 2020 - November 22, 2021

UBS FINANCIAL SERVICES INC.·CRD# 8174

Jericho, NY

August 20, 2019 - February 24, 2020

J.P. MORGAN SECURITIES LLC·CRD# 79

New York, NY

December 21, 2015 - May 14, 2019

UBS FINANCIAL SERVICES INC.·CRD# 8174

RIA

Boca Raton, FL

March 16, 2015 - December 21, 2015

UBS FINANCIAL SERVICES INC.·CRD# 8174

Boca Raton, FL

March 13, 2015 - December 21, 2015

CITIGROUP GLOBAL MARKETS INC.·CRD# 7059

RIA

Miami, FL

September 19, 2012 - June 20, 2014

CITIGROUP GLOBAL MARKETS INC.·CRD# 7059

Miami, FL

September 18, 2012 - June 20, 2014

WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616

RIA

Miami, FL

September 19, 2011 - September 6, 2012

WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616

Miami, FL

July 1, 2010 - September 6, 2012

MUTUAL SERVICE CORPORATION·CRD# 4806

Boston, MA

February 22, 2007 - October 13, 2009

CITIGROUP GLOBAL MARKETS INC.·CRD# 7059

New York, NY

November 8, 2004 - March 16, 2005

PAN-AMERICAN FINANCIAL ADVISERS·CRD# 15578

New Orleans, LA

September 23, 2003 - October 29, 2004

DINOSAUR FINANCIAL GROUP, L.L.C·CRD# 104446

New York, NY

April 24, 2003 - September 8, 2003

GKN SECURITIES CORP.·CRD# 19415

New York, NY

April 6, 1998 - January 26, 1999

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Current Firm

JEFFERIES LLC

JEFFERIES & COMPANY, INC. | JEFFERIES LLC

CRD#: 2347 / SEC#: 8-15074

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

Contact Information

Main Address

520 Madison Avenue, New York, NY 10022

Mailing Address

520 Madison Avenue 16th Floor, New York, NY 10022

Phone Number

(212) 284-2300

Established

Delaware since 03/01/2013

Firm Type

Limited Liability Company

Fiscal Year End

November

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JEFFERIES FINANCIAL GROUP INC	DIRECT OWNER	—
CAGNO, MARK LAWRENCE	GLOBAL CONTROLLER, MANAGING DIRECTOR	2510148
FISCELLA, MICHAEL EUGENE	GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR	2490187
FORLENZA, PETER CHARLES	GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR	2366985
FRIEDMAN, BRIAN PAUL	DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE	1298550
HANDLER, RICHARD BRIAN	CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR	1563245
LARSON, MATTHEW SCOTT	EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER	2605152
SCORAN, LAURI A	CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	2060170
SHARP, MICHAEL JAMES	GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT	1013864
STACCONI, JOHN FRANCO	TREASURER	1814227

Disclosures

Regulatory Event

134

Arbitration

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

Alabama
(12/2/2021)

Alaska
(12/2/2021)

Arizona
(12/2/2021)

Arkansas
(12/2/2021)

California
(12/2/2021)

Colorado
(12/2/2021)

Connecticut
(12/2/2021)

Delaware
(12/2/2021)

District of Columbia
(12/2/2021)

Florida
(12/2/2021)

Georgia
(12/2/2021)

Hawaii
(12/2/2021)

Idaho
(12/2/2021)

Illinois
(12/2/2021)

Indiana
(12/2/2021)

Iowa
(12/2/2021)

Kansas
(12/2/2021)

Kentucky
(12/2/2021)

Louisiana
(12/2/2021)

Maine
(12/2/2021)

Maryland
(12/2/2021)

Massachusetts
(12/2/2021)

Michigan
(12/2/2021)

Minnesota
(12/2/2021)

Mississippi
(12/2/2021)

Missouri
(12/2/2021)

Montana
(12/2/2021)

Nebraska
(12/2/2021)

Nevada
(12/2/2021)

New Hampshire
(12/2/2021)

New Jersey
(12/2/2021)

New Mexico
(12/2/2021)

New York
(12/2/2021)

North Carolina
(12/2/2021)

North Dakota
(12/2/2021)

Ohio
(12/2/2021)

Oklahoma
(12/2/2021)

Oregon
(12/2/2021)

Pennsylvania
(12/2/2021)

Puerto Rico
(12/2/2021)

Rhode Island
(12/2/2021)

South Carolina
(12/2/2021)

South Dakota
(12/2/2021)

Tennessee
(12/2/2021)

Texas
(12/2/2021)

Utah
(12/2/2021)

Vermont
(12/2/2021)

Virgin Islands
(7/31/2024)

Virginia
(12/2/2021)

Washington
(12/2/2021)

West Virginia
(12/2/2021)

Wisconsin
(12/2/2021)

Wyoming
(12/2/2021)

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CRS (Client Relationship Summary) - BD

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CRS (Customer Relationship Summary)

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Barbara Goethe

Professional Summary

At a Glance

Other Aliases

Blog Corner

Similar Advisors

Videos & Posts

Similar Advisors

Contact Information

Similar Advisors

Similar Advisors

Years of Experience

Current & Past Employments

Similar Advisors

Current Firm

Contact Information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Similar Advisors

Other business activities

Similar Advisors

State Registrations and Notice Filings

Exams

Series 66 — Uniform Combined State Law Examination

SIE — Securities Industry Essentials Examination

Series 7 — General Securities Representative Examination

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CRS (Client Relationship Summary) - BD

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