RG
Rocky W. Goodman
CETERA INVESTMENT ADVISERS LLC
LITTLE ROCK, AR 72201
Some features on this profile are disabled
CRD#: 7498156
RG
Professional summary
Rocky Wayne Goodman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Little Rock, Arkansas.
Rocky is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Rocky has worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) Heights Neighborhood Association; Secretary/Board Member; neighborhood association which helps promote the neighborhood; No; 1; 0; 01/01/2018; PO Box 7228 Little Rock AR 72217; board member: secretary - keep minutes during meetings. 2) Goodhart Properties, LLC; Partner; owned single family unit rental house in college town.� Rented it to college students for three years and now are turning the house into a second residence for myself.; Yes; 1; 0; 04/30/2021; 5405 Sherwood Road Little Rock AR 72207; Collected rent and paid utilities and other bills.� We routinely made repairs and updates to the property. 3) Hayes Street Properties, LLC; Partner; owner of commercial real estate building that was rented to our public accounting firm.; Yes; 1; 0; 05/08/2020; 5405 Sherwood Road Little Rock AR 72207; Collected rent, paid utilities and other bills, and routinely made repairs and updates. 4) Goodjack 12 Properties, LLC; Partner; Partner in the LLC that owned the real estate that owned our public accounting firm operated from in Little Rock, AR.; Yes; 1; 0; 05/05/2020; 5405 Sherwood Road Little Rock AR 72207; Collect rent, pay utilities, and other tenant costs and improvements and updates. 5) Landmark CPAs; CPA Member; Public accounting firm; No; 160; 130; 01/01/2025; 200 W Capitol Ave. Little Rock AR 72201; Provide accounting services to the public as well as assist in managing the business. 6) Rocky Goodman, CPA PA; President; Professional Association for me as a CPA which was the partner in our former CPA firm McIrloy.Keen.Goodman, which is a partner in our former CPA firm Garland & Greenwood CPAs and Advisors.; No; 1; 0; 09/07/2011; 200 W Capitol Ave. Little Rock AR 72201; Provide leadership to the public accounting firm Garland & Greenwood CPAs and Advisors. 7) Garland & Greenwood CPAs and Advisors, PLLC; Partner; This is a public accounting firm which provided accounting services to the public.��; No; 1; 0; 11/28/2019; 5405 Sherwood Rd Little Rock AR 72207; My duties were as the co-managing partner of the firm was to lead the public accounting firm and provide accounting services to the public. 8) McIlroy.Keen.Goodman, LLP; General Partner; Partner in Garland & Greenwood CPAs and Advisors and provides management to the CPA firm.; No; 1; 0; 12/14/2011; 5405 Sherwood Road Little Rock AR 72207; My professional association (Rocky Goodman CPA PA) is a partner in this organization, which is a partner in Garland & Greenwood CPAs and Advisors.� I provide management and CPA services. 9) Landmark Financial LLC; member; Wealth management firm that offers customized solutions for clients.� Including both individual and employer accounts.� Manage individual retirement and brokerage accounts, provide investment advice.; Yes; 1; 0; 01/01/2025; 3101 South 70th Street Fort Smith AR 72903; refer new clients to the firm. Assist current clients with tax strategies. Provide additional services deemed necessary 10) Alabama Society of CPAs; member of peer review committee; the peer review committee oversees the administering of peer reviews of CPA firms in Alabama, Arkansas, and Mississippi; No; 1; 0; 01/01/2013; 1041 Longfield Ct Montgomery AL 36117; I serve as a committee member to review and approve submitted peer reviews of CPA firms. 11) Arkansas Society of CPAs; Immediate Past President; The state society which is the organization for CPAs in the state of Arkansas to receive help and education.; No; 1; 0; 01/01/2008; 11300 Executive Center Drive Little Rock AR 72211; i served on the board of directors and was just recently the President.� My term ended and now i am wrapping up as the immediate past president.
CRS (Client Relationship Summary) - RIA
Click below to view Rocky Wayne Goodman'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 W Capitol Ave, Suite 1700, Little Rock, AR 72201Office #2: 3101 S 70th Street, Fort Smith, AR 72903RIA
CRD#: 105644
LITTLE ROCK, AR
Past
March 24, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Little Rock, AR
Past
September 9, 2022 - March 3, 2025
GARLAND AND GREENWOOD WEALTH ADVISORS LLC
RIA
CRD#: 318815
LITTLE ROCK, AR
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arkansas(9/5/2025)
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Little Rock, AR 72201TRUST BUT VERIFY
Monitor Rocky Goodman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
