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Benjamin Richard Goodman

LPl Financial LLC

Everett, WA

CRD 2611854

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-08
WA RA APPROVED 2006-03-02
  • TX RA
    APPROVED_RES
    Since 2026-03-08
  • WA RA
    APPROVED
    Since 2006-03-02

Branch Locations

Everett, WA • 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
OrganizationCityStateFromTo
Linsco/Private Ledger Lynnwood WA 02/2001 Present
  • 02/2001 → Present
    Linsco/Private Ledger
    Lynnwood, WA
Previous Registrations
  • 2001-07-25 → 2010-05-14
    Diversified Financial Advisors
    Lynnwood, WA
Other Businesses

11/03/03 - APPOINTED SUCCESSOR TTEE FOR THE BEN M. & SHIRLEY G. GOODMAN ESTATE TRUST. 06/26/08 - DBA ONLY FINANCIAL ADVOCATES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-19
S63 Uniform Securities Agent State Law Examination 1995-05-23
  • S65 Uniform Investment Adviser Law Examination
    2001-04-19
  • S63 Uniform Securities Agent State Law Examination
    1995-05-23
Other Names
  • B Goodman
  • Benjamin Richard Goodman
  • Rich Goodman
  • Benjamin Goodman
  • B Richard Goodman

View on SEC IAPD

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