TG
Tom A. Goodman
LPL ENTERPRISE
BUCKSPORT, ME 04416
Some features on this profile are disabled
CRD#: 4071345
TG
Professional summary
Tom Alex Goodman, who also goes by Tom A Goodman Jr, Tom A Goodman, Tom Goodman, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Bucksport, Maine.
Tom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Tom has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom A Goodman Jr | Tom A Goodman | Tom Goodman
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) - RIA
Click below to view Tom Alex Goodman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tom Alex Goodman'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 3, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 74 Main Street Suite 300, Bucksport, ME 04416RIA
BD
CRD#: 8733
BUCKSPORT, ME
Current
December 3, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 74 Main Street Suite 300, Bucksport, ME 04416RIA
BD
CRD#: 8733
BUCKSPORT, ME
Past
March 25, 2017 - December 3, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BUCKSPORT, ME
Past
March 25, 2017 - December 3, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BUCKSPORT, ME
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BUCKSPORT, ME
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BUCKSPORT, ME
Past
January 2, 2014 - April 6, 2018
MARINER
RIA
CRD#: 151664
OVERLAND PARK,, KS
Past
December 16, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
BUCKSPORT, ME
Past
December 13, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
BUCKSPORT, ME
Past
January 18, 2005 - December 18, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
BUCKSPORT, ME
Past
February 19, 2003 - December 18, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
BUCKSPORT, ME
Past
January 17, 2000 - February 20, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(12/3/2025)
RR
California(12/3/2025)
RR
Florida(12/3/2025)
RR
Georgia(12/3/2025)
RR
Maine(12/3/2025)
IAR
Maine(12/3/2025)
RR
Maryland(12/3/2025)
RR
Massachusetts(12/3/2025)
RR
Missouri(12/3/2025)
RR
New York(12/3/2025)
RR
North Carolina(12/3/2025)
RR
Pennsylvania(12/3/2025)
RR
Rhode Island(12/3/2025)
RR
South Carolina(12/3/2025)
RR
Vermont(12/3/2025)
RR
Washington(12/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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
LPL ENTERPRISE, LLC
CRD#: 8733Bucksport, ME 04416TRUST BUT VERIFY
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