Warren B Goodman

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2017-10-10

AZ RA
APPROVED

Since 2017-10-10

Branch Locations

Scottsdale, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	09/1999	06/2020
Equitable Advisors, Llc	New York	NY	09/1999	Present

09/1999 → 06/2020

Axa Advisors, Llc

New York, NY
09/1999 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

1) OTHER INSURANCE BROKERAGE BUSINESS; 2) ASHAR GROUP 1800 PEMBROOK DR, SUITE 240 ORLANDO, FL 32810, AGENT, START DATE: 1/1/08, 0 HRS PER MO, DUTIES: HAD A CLIENT THAT WAS INTERESTED IN SELLING A LIFE INSURANCE POLICY IT HAS BEEN MANY YEARS (APPROX 15) SINCE I LAST WORKED WITH ASHAR GROUP, ASHER GROUP, PARTICIPATION IN LIFE SETTLEMENT TRANSACTIONS THROUGH EQUITABLE'S APPROVED LIFE SETTLEMENTS BROKER, NOT INVESTMENT RELATED; 3) BGoodman@ebfgwealthadvisors.com; 4) 12/16/2025, HonorHealth Foundation The Medical Innovation Committee, 8125 N Hayden Road Scottsdale, AZ 85262, volunteer as a committee member, 5 hours per month, non-investment related; 5) Trustee of mother's life insurance trust;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-07-05
S63	Uniform Securities Agent State Law Examination	1991-10-23

S66 Uniform Combined State Law Examination

2001-07-05
S63 Uniform Securities Agent State Law Examination

1991-10-23

Other Names

Buddy Goodman
Warren B Goodman

View on SEC IAPD