Scott A. Goodrich
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.
Scott Andrew Goodrich, who also goes by Scott Goodrich, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2002. Scott had worked at 9 firms and has passed the Series 66, Series 63, Series 31, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2022 - June 30, 2010
CITI PRIVATE ALTERNATIVES, LLC
April 21, 2022 - July 9, 2026
CITIGROUP GLOBAL MARKETS INC.
April 19, 2022 - July 9, 2026
CITIGROUP GLOBAL MARKETS INC.
April 19, 2022 - July 9, 2026
CITI PRIVATE ALTERNATIVES, LLC
October 16, 2012 - April 25, 2022
UBS FINANCIAL SERVICES INC.
October 16, 2012 - April 25, 2022
UBS FINANCIAL SERVICES INC.
October 1, 2008 - May 15, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2008 - October 11, 2012
J.P. MORGAN SECURITIES LLC
July 27, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
April 25, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
April 22, 2004 - May 3, 2007
CHASE INVESTMENT SERVICES CORP.
August 12, 2003 - November 14, 2003
E1 ASSET MANAGEMENT, INC.
November 6, 2002 - August 26, 2003
NEW ENGLAND SECURITIES
March 11, 2002 - June 4, 2002
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CITI PRIVATE ALTERNATIVES, LLC
CRD#: 153777 / SEC#: 801-71561, 8-69789
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP INVESTMENT PARTNERS | MEMBER | |
| CONWAY, JOHN JAMES | PRINCIPAL FINANCIAL OFFICER (FINOP) | 1584619 |
| DE ANDRADE, ROBERTO CARLOS | MANAGER | 5841299 |
| JEAN-BAPTISTE, ALEX | CHIEF COMPLIANCE OFFICER | 6828963 |
| ODONNELL, DANIEL GLENN | MANAGER | 3160132 |
| ODONNELL, NIALL | PRINCIPAL OPERATIONS OFFICER | 6830897 |
| REMAK, MICHAEL DAVID | CEO/MANAGER | 2914374 |
Regulatory assets under management
| Total Number of Accounts | 183 |
| AUM (Assets Under Management) | $ 18,347,749,864 |
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.
