Andrew W. Good
Professional summary
Andrew William Good, who also goes by Andrew W. Good, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew William Good's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2023 - Present
CAIS CAPITAL LLC
Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022February 6, 2020 - August 7, 2023
NUVEEN ASSET MANAGEMENT, LLC
January 24, 2020 - August 7, 2023
NUVEEN SECURITIES, LLC
February 27, 2018 - December 31, 2019
AMERICAN CENTURY INVESTMENT SERVICES INC.
March 21, 2014 - February 23, 2018
440 INVESTMENT GROUP, LLC
December 5, 2012 - March 21, 2014
MONTAGE INVESTMENTS, LLC
October 22, 2012 - February 23, 2018
MSEC, LLC
September 1, 2011 - October 21, 2011
NUVEEN ASSET MANAGEMENT, LLC
September 25, 2008 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
September 23, 2008 - October 21, 2011
NUVEEN SECURITIES, LLC
February 11, 2008 - September 11, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 11, 2008 - September 11, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 18, 2007 - September 5, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 23, 2007 - September 5, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 15, 2006 - January 17, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/14/2025)
(11/20/2024)
(11/20/2024)
(11/20/2024)
(8/14/2023)
(11/20/2024)
(11/20/2024)
(1/9/2024)
(11/20/2024)
Exams
FINRA
Current Firm
CAIS CAPITAL LLC
CRD#: 154512 / SEC#: , 8-68646
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL INTEGRATION SYSTEMS LLC | PARENT/OWNER | |
| BROWN, MATTHEW CRAWFORD | CEO/MEMBER/EXECUTIVE REP. | 2160159 |
| COLLINS, MICHAEL PATRICK | CCO | 5366193 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| PREMSELAAR, MARC KLEIN | SENIOR MANAGING DIRECTOR | 5395973 |
| SHANNON, TIMOTHY BRIAN | PRESIDENT | 4461906 |
| WALKER, BRADLEY JAY | SENIOR MANAGING DIRECTOR | 5000838 |
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.
