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Howard David Goodfriend

Raymond James Financial Services Advisors, Inc

Chicago, IL

CRD 1498173

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Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

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

Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-09-30
IL RA APPROVED 2009-01-02
  • TX RA
    APPROVED_RES
    Since 2013-09-30
  • IL RA
    APPROVED
    Since 2009-01-02

Branch Locations

53 W. Jackson Boulevard Suite 319, Chicago, IL 60604 • 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
Raymond James Financial Services Chicago IL 06/2002 Present
Raymond James Financial Services Advisors, Inc Chicago IL 01/2009 Present
Goodfriend Llc Chicago IL 10/2024 Present
Other Businesses

(1)Name of Business: Goodfriend LLC Address: 53 W Jackson Blvd Ste 319, Chicago, IL, 60604-3695, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor, Officer - President Investment Related: No Start Date: 10/25/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is a support company / S Corp for my Raymond James practice. It is only for that purpose. It is not an RIA.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-04
S63 Uniform Securities Agent State Law Examination 1986-05-23
  • S65 Uniform Investment Adviser Law Examination
    2005-06-04
  • S63 Uniform Securities Agent State Law Examination
    1986-05-23

View on SEC IAPD

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