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AG

Allen D. Goodman

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CRD#: 4304903
AG

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.

Allen David Goodman was a registered financial professional .

Allen is a previously registered financial professional and started their career in finance in 2001. Allen had worked at 3 firms and has passed the Series 28 exam.

top-8-questions

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.

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

March 6, 2007 - August 17, 2007

JAVCAP SECURITIES LLC

BD
CRD#: 142174
CHICAGO, IL
Past

April 10, 2006 - August 6, 2007

UHLMANN PRICE SECURITIES, LLC

BD
CRD#: 42854
CHICAGO, IL
Past

July 30, 2001 - January 16, 2014

MONERE INVESTMENTS, INC.

BD
CRD#: 105487
CHICAGO, IL

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.

Exams

Principal/Supervisory Exam
RR
Series 28
Date: 7/10/2001
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

JS
JAVCAP SECURITIES LLC
ALTERNATIVE INVESTMENT SERVICES, LLC | JAVCAP SECURITIES LLC

CRD#: 142174 / SEC#: , 8-67435

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

Main Address
420 Lexington Avenue Suite 1810, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 1810, New York, NY 10170
Phone number
(646) 206-2401
Established
Illinois since 04/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ENR GROUP, LLCOWNER
GEORGE, KENNETH RONALDCFO/FINOP2643369
SEGAL, JASON ANDREWCEO/PRINCIPAL/CCO2965905

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

JAVCAP SECURITIES LLC

CRD#: 142174

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