BG
Barbara Goethe
JEFFERIES LLC
Miami, FL 33131
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CRD#: 2998443
BG
Professional summary
Barbara Goethe is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Barbara Goethe'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®
NoneExperience
Current
December 2, 2021 - Present
JEFFERIES LLC
Office #1: 1450 Brickell Avenue Suite 1710, Miami, FL 33131BD
CRD#: 2347
Miami, FL
Past
October 14, 2020 - November 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
April 17, 2020 - November 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
Past
August 20, 2019 - February 24, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
JERICHO, NY
Past
December 21, 2015 - May 14, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 16, 2015 - December 21, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BOCA RATON, FL
Past
March 13, 2015 - December 21, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOCA RATON, FL
Past
September 19, 2012 - June 20, 2014
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
MIAMI, FL
Past
September 18, 2012 - June 20, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MIAMI, FL
Past
September 19, 2011 - September 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
July 1, 2010 - September 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MIAMI, FL
Past
February 22, 2007 - October 13, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
November 8, 2004 - March 16, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 23, 2003 - October 29, 2004
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
April 24, 2003 - September 8, 2003
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
NEW YORK, NY
Past
April 6, 1998 - January 26, 1999
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/2/2021)
RR
Alaska(12/2/2021)
RR
Arizona(12/2/2021)
RR
Arkansas(12/2/2021)
RR
California(12/2/2021)
RR
Colorado(12/2/2021)
RR
Connecticut(12/2/2021)
RR
Delaware(12/2/2021)
RR
District of Columbia(12/2/2021)
RR
Florida(12/2/2021)
RR
Georgia(12/2/2021)
RR
Hawaii(12/2/2021)
RR
Idaho(12/2/2021)
RR
Illinois(12/2/2021)
RR
Indiana(12/2/2021)
RR
Iowa(12/2/2021)
RR
Kansas(12/2/2021)
RR
Kentucky(12/2/2021)
RR
Louisiana(12/2/2021)
RR
Maine(12/2/2021)
RR
Maryland(12/2/2021)
RR
Massachusetts(12/2/2021)
RR
Michigan(12/2/2021)
RR
Minnesota(12/2/2021)
RR
Mississippi(12/2/2021)
RR
Missouri(12/2/2021)
RR
Montana(12/2/2021)
RR
Nebraska(12/2/2021)
RR
Nevada(12/2/2021)
RR
New Hampshire(12/2/2021)
RR
New Jersey(12/2/2021)
RR
New Mexico(12/2/2021)
RR
New York(12/2/2021)
RR
North Carolina(12/2/2021)
RR
North Dakota(12/2/2021)
RR
Ohio(12/2/2021)
RR
Oklahoma(12/2/2021)
RR
Oregon(12/2/2021)
RR
Pennsylvania(12/2/2021)
RR
Puerto Rico(12/2/2021)
RR
Rhode Island(12/2/2021)
RR
South Carolina(12/2/2021)
RR
South Dakota(12/2/2021)
RR
Tennessee(12/2/2021)
RR
Texas(12/2/2021)
RR
Utah(12/2/2021)
RR
Vermont(12/2/2021)
RR
Virgin Islands(7/31/2024)
RR
Virginia(12/2/2021)
RR
Washington(12/2/2021)
RR
West Virginia(12/2/2021)
RR
Wisconsin(12/2/2021)
RR
Wyoming(12/2/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JL
JEFFERIES LLC
JEFFERIES & COMPANY, INC. | JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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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
# of Employees
FINRA licenses (53 States and Territories)
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 | 133 |
| Arbitration | 4 |
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.
Company Information
JEFFERIES LLC
CRD#: 2347Miami, FL 33131TRUST BUT VERIFY
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