Andrew F. Good
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.
Andrew Frederick Good, who also goes by Andrew F Good, Andy Good, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1978. Andrew had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2017 - June 5, 2020
COGNIOS CAPITAL, LLC
December 27, 2016 - December 31, 2019
ALPS DISTRIBUTORS, INC.
December 5, 2012 - December 31, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
July 20, 2010 - January 7, 2011
COLE PARTNERS
November 7, 2006 - July 31, 2008
GAR WOOD SECURITIES, LLC
June 27, 2000 - May 10, 2006
DRIEHAUS SECURITIES LLC
November 10, 1998 - June 15, 2000
TARPON SCURRY INVESTMENTS, INC.
October 23, 1997 - June 17, 1998
MORGAN FULLER CAPITAL GROUP, LLC
January 11, 1996 - October 22, 1997
CAPITAL MANAGEMENT PARTNERS, INC.
February 17, 1994 - December 20, 1995
ARBORHEDGE INVESTMENTS, INC.
January 30, 1989 - February 21, 1990
FIRST OPTIONS OF CHICAGO, INC.
May 23, 1988 - August 11, 1995
UBS FINANCIAL SERVICES INC.
July 25, 1987 - November 24, 1987
HSBC SECURITIES (USA) INC.
August 19, 1986 - November 4, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1978 - May 30, 1985
CONTISECURITIES, 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
Series 1
Date: 5/22/1978
Registered Representative ExaminationCurrent Firm
COGNIOS CAPITAL, LLC
CRD#: 148361 / SEC#: 801-77198
Contact information
Documents
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.
