Scott D. Goodman
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 David Goodman was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2006. Scott had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2014 - November 3, 2014
ALLWORTH FINANCIAL, L.P.
July 8, 2014 - November 3, 2014
AW SECURITIES
November 16, 2009 - July 7, 2014
VOYA FINANCIAL ADVISORS, INC.
April 17, 2008 - July 7, 2014
VOYA FINANCIAL ADVISORS, INC.
October 6, 2006 - April 21, 2008
EQUITABLE ADVISORS, LLC
June 14, 2006 - April 21, 2008
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
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
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64,930 |
| AUM (Assets Under Management) | $ 25,097,132,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/05/2025 |
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.
