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CG

Caroline Goodson

ANALYST HUB SECURITIES
Austin, TX 78746
Some features on this profile are disabled
CRD#: 5797160
CG

Professional summary

Caroline Goodson, who also goes by Caroline Alexis Goodson, is a registered financial professional currently at ANALYST HUB SECURITIES, LLC located in Austin, Texas.

Caroline is registered as a RR (Registered Representative) and started their career in finance in 2012. Caroline has worked at 3 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caroline Alexis Goodson

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 Caroline Goodson'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®
None

Experience

Current

June 26, 2019 - Present

ANALYST HUB SECURITIES, LLC

Office #1: 2301 S Capital Of Texas Hwy Ste. J-101, Austin, TX 78746
BD
CRD#: 297665
Austin, TX
Past

May 6, 2013 - March 19, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 2, 2012 - May 15, 2012

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 3/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AH
ANALYST HUB SECURITIES, LLC
ANALYST HUB SECURITIES, LLC

CRD#: 297665 / SEC#: , 8-70144

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

Main Address
2301 S Capital Of Texas Hwy Ste. J-101, Austin, TX 78746
Mailing Address
2301 S. Capital Of Texas Hwy Ste. J-101, Austin, TX 78746
Phone number
(646) 543-4099
Established
Delaware since 05/17/2018
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ANALYST HUB HOLDINGS, LLCPARENT COMPANY
KRONENBERG, MICHAEL JEANCHIEF EXECUTIVE OFFICER4451109
THORNTON, STEVEN LEEFINOP / CHIEF COMPLIANCE OFFICER4496384

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

ANALYST HUB SECURITIES, LLC

CRD#: 297665Austin, TX 78746

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