Robert Allan Goudeseune | Financial Professional

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.

Robert Allan Goudeseune, who also goes by Rob Goudeseune, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 8 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Rob Goudeseune

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 6, 2011 - September 18, 2012

CAPITAL MARKETS IQ, LLC

RIA

CRD#: 134921

FARMINGTON HILLS, MI

Past

February 4, 2011 - August 22, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

STERLING HEIGHTS, MI

Past

February 4, 2011 - August 22, 2011

LPL FINANCIAL LLC

BD

CRD#: 6413

STERLING HEIGHTS, MI

Past

May 27, 2010 - January 28, 2011

MORGAN STANLEY

RIA

CRD#: 149777

FARMINGTON HILLS, MI

Past

June 2, 2009 - January 28, 2011

MORGAN STANLEY

BD

CRD#: 149777

FARMINGTON HILLS, MI

Past

May 29, 2009 - July 16, 2009

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

FARMINGTON, MI

Past

October 1, 2008 - June 3, 2009

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

BLOOMFIELD HILLS, MI

Past

October 1, 2008 - June 3, 2009

J.P. MORGAN SECURITIES LLC

BD

CRD#: 79

BLOOMFIELD HILLS, MI

Past

May 14, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

BLOOMFIELD HILLS, MI

Past

May 11, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD

CRD#: 18718

BLOOMFIELD HILLS, MI

Past

September 7, 2005 - December 19, 2006

FIFTH THIRD SECURITIES, INC.

BD

CRD#: 628

SOUTHFIELD, MI

Past

April 7, 1999 - June 7, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

BLOOMFIELD HILLS, MI

Past

March 10, 1999 - June 7, 2005

BANC ONE SECURITIES CORPORATION

BD

CRD#: 16999

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 3/16/1999

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 3/9/1999

General Securities Representative Examination

Current Firm

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Arlington, TX

Mailing Address

2810 N Church St Pmb 52811, Wilmington, DE 19802

Phone number

(310) 882-6380

Established

Firm type

Fiscal year end

# of Employees

26

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 450,873,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/28/2025	Cover Page	Report
08/22/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert A. Goudeseune

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

FIFTH THIRD SECURITIES, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

CAPITAL MARKETS IQ, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/1999

Series 7

Date: 3/9/1999

Current Firm

CAPITAL MARKETS IQ, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL MARKETS IQ, LLC

TRUST BUT VERIFY

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