Unclaimed Profile

Charles Arthur Goodman

FINANCIAL PARTNERS, LLC·SANTA FE, New Mexico

SIE, Series 3, Series 7, Series 8, Series 22, Series 24, Series 63, Series 65Clean record33 years registeredFINANCIAL PARTNERS, LLC

613 OLD SANTA FE TRAIL, SANTA FE, NM 87505CRD# 1108687Firm CRD# 170002

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Charles Arthur Goodman · SANTA FE, NM

Registration

CRD #1108687 · FINANCIAL PARTNERS, LLC · 33 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FINANCIAL PARTNERS, LLC

FINANCIAL PARTNERS, LLC

Mar 2014 – Jul 2023

SANTA FE, NM

LPL FINANCIAL LLC

Mar 2010 – Oct 2015

SANTA FE, NM

MORGAN STANLEY SMITH BARNEY LLC

Jun 2009 – Mar 2010

SANTA FE, NM

MORGAN STANLEY & CO. INCORPORATED

Apr 2007 – Jun 2009

SANTA FE, NM

MORGAN STANLEY

Nov 2006 – Apr 2007

SANTA FE, NM

CITIGROUP GLOBAL MARKETS INC.

Jan 1993 – Nov 2006

SANTA FE, NM

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 22

Series 24

Series 63

Series 65

Registration record

First registered · January 14, 1993

Years registered · 33

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FINANCIAL PARTNERS, LLC

CRD 170002 · SEC 801-110092

AUM

$121M

Regulatory assets under management

Employees

391 client accounts

Services offered by FINANCIAL PARTNERS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FINANCIAL PARTNERS, LLC →

Introduction

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Frequently Asked Questions

What services does Charles Arthur Goodman offer?

Charles Arthur Goodman specializes in Financial Planning, Investment Management.

What are Charles Arthur Goodman's credentials?

Charles Arthur Goodman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Charles Arthur Goodman located?

Charles Arthur Goodman is based in SANTA FE, New Mexico, last registered with FINANCIAL PARTNERS, LLC.

How does Charles Arthur Goodman charge for services?

Charles Arthur Goodman's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FINANCIAL PARTNERS, LLC?

FINANCIAL PARTNERS, LLC has approximately 3 employees and manages $121M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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