Herbert E. Goodfriend
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.
Herbert Edward Goodfriend, who also goes by Herb Goodfriend, Herman Edwin Goodfriend, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 2005. Herbert had worked at 2 firms and has passed the 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
October 23, 2014 - December 20, 2019
BENTLEY SECURITIES CORPORATION
June 16, 2005 - September 11, 2014
GILL AND ROESER HOLDINGS, INC.
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
BENTLEY SECURITIES CORPORATION
CRD#: 25759 / SEC#: , 8-41879
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROMWELL, OLIVER DEAN | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 838160 |
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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