KG
Kerry C. Goodman
FOUNDERS FINANCIAL ALLIANCE
Cary, NC 27513
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CRD#: 4774629
KG
Professional summary
Kerry Carlton Goodman, AIF®, who also goes by Kerry C Goodman, Kerry Goodman, is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Cary, North Carolina and LPL FINANCIAL LLC located in Cary, North Carolina.
Kerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kerry has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kerry C Goodman | Kerry 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.
1. 10/16/2018 - Abecedarian Education Foundation - Not Investment Related - Location/Address: TBD - Non-Profit Board Member - Started 10/01/2018 - 2 Hours Per Month/1 Hour During Securities Trading - At Large member of newly formed early childhood education foundation. 2. 1/10/2019 - Du Lac Wealth Services - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/02/2019 - 160 Hours Per Month/8 Hours During Securities Trading. 3. 11/5/2019 - Team720 - Investment Related - Online/At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/07/2019 - 1 Hour Per Month/1 Hour During Securities Trading. 4. 03/01/2024 - Du Lac Wealth Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 03/01/2024 - 80 Hours Per Month/80 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 3/2024. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Kerry Carlton 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®
Experience
Current
March 15, 2024 - Present
FOUNDERS FINANCIAL ALLIANCE, LLC
Office #1: 1150 Nw Maynard Rd Ste 110, Cary, NC 27513RIA
CRD#: 173011
Cary, NC
Current
February 29, 2016 - Present
LPL FINANCIAL LLC
Office #1: 1150 Nw Maynard Rd Ste 110, Cary, NC 27513-8709RIA
BD
CRD#: 6413
Cary, NC
Past
January 2, 2019 - March 15, 2024
INDEPENDENT ADVISOR ALLIANCE, LLC
RIA
CRD#: 168267
Chapel Hill, NC
Past
March 1, 2016 - January 3, 2019
FOUNDERS FINANCIAL ALLIANCE, LLC
RIA
CRD#: 173011
Chapel Hill, NC
Past
April 23, 2010 - March 1, 2016
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
WILMINGTON, NC
Past
March 25, 2010 - March 1, 2016
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
WILMINGTON, NC
Past
January 17, 2008 - June 4, 2009
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
CHAPEL HILL, NC
Past
September 19, 2007 - June 4, 2009
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CHAPEL HILL, NC
Past
April 23, 2004 - July 10, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHAPEL HILL, NC
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".
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)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
California(2/23/2021)
RR
Colorado(3/8/2016)
RR
Iowa(4/24/2025)
RR
Maryland(3/8/2016)
RR
Montana(1/21/2025)
RR
North Carolina(2/29/2016)
IAR
North Carolina(3/15/2024)
RR
Texas(3/8/2016)
IAR
Texas(3/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615
Mailing Address
Phone number
(855) 860-5940
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,918 |
| AUM (Assets Under Management) | $ 1,002,097,380 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FOUNDERS FINANCIAL ALLIANCE, LLC
CRD#: 173011Cary, NC 27513TRUST BUT VERIFY
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