Mark J. Goucher

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CRD#: 4702017

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 John Goucher, who also goes by Mark Goucher, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2004. Mark had worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark Goucher

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

December 5, 2016 - May 17, 2017

NORTHSTAR FINANCIAL COMPANIES, INC.

RIA

CRD#: 119396

CONSHOHOCKEN, PA

Past

August 5, 2016 - February 10, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

March 28, 2014 - July 26, 2016

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

NASHUA, NH

Past

April 4, 2013 - July 26, 2016

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

NASHUA, NH

Past

July 20, 2010 - February 22, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Past

December 4, 2009 - April 22, 2010

PARK AVENUE SECURITIES LLC

CRD#: 46173

DANVERS, MA

Past

March 10, 2008 - March 23, 2009

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

LOWELL, MA

Past

February 28, 2006 - September 28, 2009

NORTHSTAR FINANCIAL COMPANIES, INC.

RIA

CRD#: 119396

LOWELL, MA

Past

October 11, 2005 - March 10, 2008

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

CONSHOHOCKEN, PA

Past

January 22, 2004 - March 10, 2008

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

CONSHOHOCKEN, PA

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".

NORTHSTAR FINANCIAL COMPANIES, INC.

CRD#: 119396 / SEC#: 801-115004

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2019 Terminated)

Connecticut

Registered Investment Advisory firm - (4/23/2019 Terminated)

Delaware

Registered Investment Advisory firm - (12/31/2005 Terminated)

Florida

Registered Investment Advisory firm - (4/22/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/22/2019 Terminated)

New Hampshire

Registered Investment Advisory firm - (5/15/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/22/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2019 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

IAR

Series 65

Date: 3/28/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/11/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/2004

General Securities Representative Examination

Current Firm

NORTHSTAR FINANCIAL COMPANIES, INC.

CRD#: 119396 / SEC#: 801-115004

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2019 Terminated)

Connecticut

Registered Investment Advisory firm - (4/23/2019 Terminated)

Delaware

Registered Investment Advisory firm - (12/31/2005 Terminated)

Florida

Registered Investment Advisory firm - (4/22/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/22/2019 Terminated)

New Hampshire

Registered Investment Advisory firm - (5/15/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/22/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2019 Terminated)

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Contact information

Main Address

1201 E. Hector St, Conshohocken, PA 19428

Mailing Address

Phone number

(610) 629-6100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/13/2025)

NORTHSTAR NEW PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,303
AUM (Assets Under Management)	$ 443,347,000

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

Mark J. Goucher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

FIDELITY BROKERAGE SERVICES LLC

PARK AVENUE SECURITIES LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

NORTHSTAR FINANCIAL COMPANIES, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

NORTHSTAR FINANCIAL COMPANIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/28/2014

Series 66

Date: 2/11/2004

SIE

Date: 2/10/2017

Series 7

Date: 1/21/2004

Current Firm

NORTHSTAR FINANCIAL COMPANIES, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHSTAR FINANCIAL COMPANIES, INC.

TRUST BUT VERIFY

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