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Keith Andrew Goodman

Maxim Group LLC

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About Keith Andrew Goodman

Keith Andrew Goodman is a financial professional with over 30 years of experience in the securities industry. Keith has held positions at several firms including Oppenheimer & Co. Inc. and HFP Capital Markets LLC. He has a wide range of experience, including experience as a Registered Options Principal. He is currently registered with Maxim Group LLC.

Firm Information

Keith Goodman is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Keith Goodman’s Registration & Firm History

NY

08/08/2011 - Present

Maxim Group LLC (NEW YORK NY)

NY

06/26/2009 - 08/09/2011

HFP CAPITAL MARKETS LLC (NEW YORK NY)

NY

04/04/2008 - 07/24/2009

JOSEPH GUNNAR & CO. LLC (NEW YORK NY)

NY

01/02/2002 - 04/08/2008

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

01/02/1998 - 01/02/2002

PRIME CHARTER LTD. (NEW YORK NY)

NY

12/13/1993 - 01/30/1998

D. H. BLAIR & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/23/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/22/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/25/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/10/2000

Series 4 - Registered Options Principal Examination

BC

Issued 06/11/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/11/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are 4 public disclosures for Keith Andrew Goodman. Review regulatory record here.
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