Stephen 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.
Stephen Goodman, who also goes by Stephen Goodman Mr., was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2008. Stephen had worked at 9 firms and has passed the Series 63, Series 79TO, 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
April 8, 2025 - January 23, 2026
BA SECURITIES, LLC
April 7, 2017 - April 28, 2023
STORMHARBOUR SECURITIES LP
February 29, 2016 - January 9, 2017
JETT CAPITAL ADVISORS, LLC
July 15, 2013 - October 23, 2014
KGS-ALPHA CAPITAL MARKETS, L.P.
July 2, 2012 - July 15, 2013
VIRTU AMERICAS LLC
December 15, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
March 16, 2011 - January 11, 2012
SHORELINE PACIFIC, LLC
January 26, 2011 - March 4, 2011
CASIMIR CAPITAL L.P.
May 6, 2009 - November 10, 2010
CASIMIR CAPITAL L.P.
May 5, 2008 - March 25, 2009
SANDERS MORRIS 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
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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