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BG

Bradley J. Goodman

PURSHE KAPLAN STERLING INVESTMENTS
ALBANY, NY 12207
Some features on this profile are disabled
CRD#: 5064719
BG

Professional summary

Bradley Jason Goodman, who also goes by Brad Jason Goodman, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Bradley is registered as a RR (Registered Representative) and started their career in finance in 2006. Bradley has worked at 10 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 53, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brad Jason 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradley Jason Goodman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 10, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 7079 S Locust Place, Centennial, CO 80112
BD
CRD#: 35747
ALBANY, NY
Past

May 28, 2024 - December 6, 2024

SAVANT WEALTH MANAGEMENT

RIA
CRD#: 107271
ROCKFORD, IL
Past

February 27, 2024 - May 20, 2024

PRAXESS SECURITIES, LLC

BD
CRD#: 326036
Greenwood, CO
Past

July 6, 2015 - February 23, 2024

WILLIAM BLAIR

RIA
CRD#: 1252
DENVER, CO
Past

July 6, 2015 - February 23, 2024

WILLIAM BLAIR

BD
CRD#: 1252
DENVER, CO
Past

August 12, 2014 - June 22, 2015

ENVESTNET PMC

RIA
CRD#: 111694
CHICAGO, IL
Past

August 7, 2014 - June 22, 2015

PORTFOLIO BROKERAGE SERVICES, INC.

BD
CRD#: 18554
CHICAGO, IL
Past

October 7, 2008 - February 18, 2014

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
CHICAGO, IL
Past

October 7, 2008 - February 18, 2014

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
CHICAGO, IL
Past

August 8, 2007 - September 25, 2008

LASALLE FINANCIAL SERVICES, INC.

RIA
CRD#: 20373
CHICAGO, IL
Past

August 8, 2007 - September 25, 2008

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

February 27, 2006 - March 29, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DENVER, CO
Past

January 5, 2006 - March 29, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(10/29/2025)
RR
Colorado
(3/10/2025)
RR
Delaware
(10/29/2025)
RR
Maryland
(10/29/2025)
RR
Nevada
(10/29/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/24/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/3/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/21/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/9/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/29/2007
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Albany, NY 12207

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