Carl H. 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.
Carl Henry Goodman, who also goes by Carl Goodman, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1976. Carl had worked at 47 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2012 - September 18, 2015
ACP SECURITIES, LLC
June 1, 2011 - September 22, 2015
OMNICAP, LLC
August 14, 2009 - May 14, 2010
CAPITAL DYNAMICS BROKER DEALER LLC
March 10, 2008 - February 3, 2009
GENESIS GLOBAL TRADING, INC
October 22, 2007 - July 1, 2015
GRACE FINANCIAL GROUP LLC
March 9, 2007 - February 27, 2009
MAGV SECURITIES, INC.
January 3, 2007 - September 18, 2007
VISTA RESEARCH BROKERAGE, INC.
March 22, 2006 - May 16, 2013
ATM
May 2, 2005 - January 21, 2010
PICO QUANTITATIVE TRADING LLC
February 3, 2005 - March 25, 2013
METCIRCLE SECURITIES LLC
October 15, 2004 - June 1, 2009
DRAKE STAR SECURITIES LLC
September 29, 2004 - August 24, 2009
CAPITAL DYNAMICS, INC.
February 26, 2004 - March 30, 2012
A.J. PACE & CO., INC.
September 17, 2003 - September 29, 2004
PECONIC SECURITIES LLC
July 25, 2003 - May 14, 2004
CASTLEOAK SECURITIES, LP
March 14, 2003 - April 2, 2003
FINANCIAL CONSULTANT GROUP, LLC
January 17, 2003 - September 17, 2007
JUNIPER CAPITAL GROUP, LLC
October 3, 2002 - January 28, 2013
MARBLEHEAD TRADING GROUP, LLC
May 21, 2002 - March 31, 2004
MARBLEHEAD TRADING, LLC
February 27, 2002 - June 27, 2002
POWELL CAPITAL MARKETS, INC.
February 19, 2002 - May 1, 2002
ELECTRONIC SECURITIES PROCESSING (ESP) LLC
February 19, 2002 - July 23, 2002
WYNSTON HILL CAPITAL, LLC
January 24, 2002 - February 21, 2002
FINANTIA USA INC.
August 22, 2001 - July 24, 2003
A.J. PACE & CO., INC.
June 25, 2001 - July 9, 2002
TECH-TRADE CAPITAL LLC
April 20, 2001 - September 22, 2015
IVY SECURITIES, INC.
March 2, 2000 - February 26, 2001
STONEBRIDGE CAPITAL, LLC
March 2, 2000 - January 17, 2008
MULTITRADE SECURITIES LLC
November 10, 1999 - December 10, 2001
ORAMA SECURITIES, INC.
October 19, 1999 - October 3, 2001
SPIRIT PARTNERS, L.P.
October 19, 1999 - September 24, 2015
INTE SECURITIES LLC
August 28, 1999 - November 21, 2000
PINNACLE ASSET MANAGEMENT, INC.
July 15, 1999 - October 6, 2000
NEONET SECURITIES, INC.
June 1, 1999 - June 29, 2000
RAMS HEAD SECURITIES, INC.
May 13, 1999 - April 23, 2001
THINKEQUITY LLC
February 7, 1999 - March 16, 2001
SAGE CAPITAL LLC
November 4, 1998 - January 22, 1999
CJS SECURITIES, INC.
October 8, 1998 - March 31, 2005
GEMINI FINANCIAL CORPORATION
September 28, 1998 - July 12, 2001
JOBARR SECURITIES CORPORATION
August 18, 1998 - February 25, 2000
CLARION CAPITAL U.S. INC.
May 20, 1998 - September 4, 2001
CFC SECURITIES, INC.
April 17, 1998 - January 6, 1999
STUART PORTFOLIO CONSULTANTS, L.P.
April 30, 1997 - March 9, 1998
EARLYBIRDCAPITAL, INC.
February 5, 1996 - March 9, 1998
SSI SECURITIES CORP.
November 6, 1991 - February 26, 1998
GKN SECURITIES CORP.
October 8, 1990 - November 14, 1990
SCHONFELD SECURITIES, LLC
November 17, 1988 - July 26, 1989
BOYE HOLDINGS INC.
July 22, 1976 - May 22, 1987
TD PRIME SERVICES 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 40
Date: 12/15/1977
Registered Principal ExaminationCurrent Firm
ACP SECURITIES, LLC
CRD#: 139049 / SEC#: , 8-67185
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
