Mark K. Goodman
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.
Mark Kenneth Goodman, who also goes by Mark K Goodman, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 15 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2009 - September 14, 2012
CAPITAL ASSET ADVISORS, INC.
January 16, 2009 - November 17, 2014
GOTTBETTER CAPITAL MARKETS, LLC
October 23, 2006 - November 24, 2008
CAPITAL ASSET ADVISORS, INC.
August 18, 2006 - January 7, 2009
RENCAP SECURITIES, INC.
April 18, 2006 - July 9, 2021
WATSON MANAGEMENT ASSOCIATES, LLC
December 16, 2005 - April 30, 2008
CONCORD CAPITAL MARKETS, LLC
April 25, 2005 - April 11, 2014
APB FINANCIAL GROUP, LLC
March 17, 2004 - January 13, 2014
SEAVIEW SECURITIES LLC
March 10, 2004 - September 14, 2004
VAN ECK CAPITAL, INC.
January 9, 2004 - November 11, 2005
ROSE SQUARE CAPITAL, LLC
August 8, 2002 - June 27, 2011
MKM PARTNERS LLC
April 30, 2001 - November 6, 2002
REVA CAPITAL MARKETS LLC
April 26, 2001 - April 29, 2003
ATLAS CAPITAL SERVICES, LLC
June 20, 2000 - February 5, 2001
WINDSOR CAPITAL ADVISORS, LLC
August 3, 1999 - March 29, 2001
PITTSBURG INSTITUTIONAL INC.
March 17, 1998 - December 2, 2003
BALLPARK SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAPITAL ASSET ADVISORS, INC.
CRD#: 19607 / SEC#: , 8-37614
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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