Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Goodman is a financial professional with over two decades of experience in the securities industry. William has a diverse background, having worked for multiple firms across different states, including California, Maryland, and Louisiana. Currently, William is registered with Finalis Securities LLC. William holds a variety of licenses including Series 3, SIE, 7, and 6. In addition, William is a registered representative in California, Delaware, and Minnesota.
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.
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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2
NY
09/28/2022 - Present
Finalis Securities LLC (New York NY)
CA
11/12/2019 - 09/30/2022
PINNACLE CAPITAL SECURITIES, LLC (Long Beach CA)
CA
10/04/2019 - 11/14/2019
COMMONGOOD SECURITIES LLC (Manhattan Beach CA)
CA
05/11/2017 - 09/30/2019
FRONTIER SOLUTIONS, LLC (Manhattan Beach CA)
CA
07/29/2016 - 03/06/2017
FIVE 9 SECURITIES, LLC (LADERA RANCH CA)
CA
11/14/2008 - 08/12/2014
LEGG MASON INVESTOR SERVICES, LLC (PASADENA CA)
CA
12/01/2005 - 12/31/2006
LEGG MASON INVESTOR SERVICES, LLC (SAN MATEO CA)
MD
09/30/2003 - 12/01/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
LA
08/11/2001 - 09/30/2003
LM FINANCIAL PARTNERS, INC. (NEW ORLEANS LA)
CA
02/03/1997 - 08/11/2001
ARROYO SECO, INC. (PASADENA CA)
BC
Issued 11/20/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/2021
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2002
Series 7 - General Securities Representative Examination
BC
Issued 10/10/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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