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Mark Jeffrey Shafer

Goodrich Asset Management LLC

New Albany, OH

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Current Employers
Goodrich Asset Management Llc

Newark, OH • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2009-11-23
  • OH RA
    APPROVED
    Since 2009-11-23

Branch Locations

New Albany, OH • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Goodrich Asset Management, Llc New Albany OH 08/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-29
S63 Uniform Securities Agent State Law Examination 1985-02-08
  • S65 Uniform Investment Adviser Law Examination
    1999-04-29
  • S63 Uniform Securities Agent State Law Examination
    1985-02-08

View on SEC IAPD

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