Stephen M. 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 Michael Goodman, who also goes by Steve Goodman, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1975. Stephen had worked at 17 firms and has passed the Series 63 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
February 20, 1995 - September 6, 1995
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
April 22, 1994 - January 10, 1995
FAIRCHILD FINANCIAL GROUP, INC.
February 16, 1994 - March 7, 1994
SPENCER EDWARDS, INC.
October 14, 1993 - January 7, 1994
CHURCHILL SECURITIES, INC.
January 25, 1993 - September 28, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
July 23, 1992 - January 25, 1993
KOBER FINANCIAL CORP.
June 8, 1991 - August 4, 1992
CHATFIELD DEAN & CO., INC.
October 20, 1988 - June 6, 1991
KOBER FINANCIAL CORP.
January 4, 1988 - June 23, 1988
ALLIED CAPITAL GROUP, INC.
January 17, 1986 - December 16, 1987
MALONE & ASSOCIATES, INC.
March 29, 1985 - December 3, 1985
FIRST EASTERN SECURITIES CORPORATION
May 7, 1984 - February 25, 1985
SECO SECURITIES, INC.
March 1, 1984 - May 15, 1984
B. J. LEONARD AND COMPANY, INC.
July 25, 1983 - February 23, 1984
HACKERT/MODESITT INVESTMENTS, LTD.
July 15, 1982 - April 23, 1984
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
September 2, 1980 - August 5, 1982
J DANIEL BELL & COMPANY, INC.
December 29, 1978 - February 4, 1980
SECO SECURITIES, INC.
May 28, 1978 - January 13, 1979
AMERICAN WESTERN SECURITIES, INC.
November 3, 1976 - May 28, 1978
AMERICAN WESTERN SECURITIES, INC.
August 21, 1975 - October 4, 1976
INSTITUTIONAL SECURITIES OF COLORADO, 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
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
