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Andrew Frederick Good

CRD# 852572·Registered 1978 - 2020
Previously Registered: Being a previously registered professional could mean that Andrew 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.

Professional Summary

Andrew Frederick Good, who also goes by Andrew F Good, Andy Good, was a registered financial advisor. Andrew was a previously registered financial professional and started their career in finance 1978 - 2020. Andrew had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Andrew F Good, Andy Good

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

48 years in the financial services industry

Current & Past Employments

COGNIOS CAPITAL, LLC·CRD# 148361
RIA
Sarasota, FL
March 30, 2017 - June 5, 2020
ALPS DISTRIBUTORS, INC.·CRD# 16853
BD
Denver, CO
December 27, 2016 - December 31, 2019
MIDAMERICA FINANCIAL SERVICES, INC.·CRD# 47351
BD
Sarasota, FL
December 5, 2012 - December 31, 2014
COLE PARTNERS·CRD# 113464
BD
Chicago, IL
July 20, 2010 - January 7, 2011
GAR WOOD SECURITIES, LLC·CRD# 138033
BD
Naperville, IL
November 7, 2006 - July 31, 2008
DRIEHAUS SECURITIES LLC·CRD# 8197
BD
Chicago, IL
June 27, 2000 - May 10, 2006
TARPON SCURRY INVESTMENTS, INC.·CRD# 34635
BD
New York, NY
November 10, 1998 - June 15, 2000
MORGAN FULLER CAPITAL GROUP, LLC·CRD# 39461
BD
October 23, 1997 - June 17, 1998
CAPITAL MANAGEMENT PARTNERS, INC.·CRD# 21973
BD
Fairfield, IA
January 11, 1996 - October 22, 1997
ARBORHEDGE INVESTMENTS, INC.·CRD# 34800
BD
Chicago, IL
February 17, 1994 - December 20, 1995
FIRST OPTIONS OF CHICAGO, INC.·CRD# 13822
BD
Chicago, IL
January 30, 1989 - February 21, 1990
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
May 23, 1988 - August 11, 1995
HSBC SECURITIES (USA) INC.·CRD# 19585
BD
July 25, 1987 - November 24, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
August 19, 1986 - November 4, 1986
CONTISECURITIES, INC.·CRD# 6926
BD
June 1, 1978 - May 30, 1985

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Current Firm

CC
COGNIOS CAPITAL, LLC

COGNIOS CAPITAL, LLC | TCP FUND MANAGEMENT, LLC

CRD#: 148361 / SEC#: 801-77198

Contact Information

Main Address

11250 Tomahawk Creek Pkwy, Leawood, KS 66211

Documents

Latest Form ADV

Part 2 Brochures

COGNIOS CAPITAL, LLC ADV 2A 2020 (3/27/2020)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2017About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1986About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Jun 1986About the Series 3 exam

Series 1 — Registered Representative Examination

Passed May 1978

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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