Business Description

Professional Money Management without the inherent conflicts of interest that may arise within certain Financial Services organizations. Mr. Gooding has been in this industry for over 14 years helping people manage their money successfully during " bull markets" and "bear markets" We leverage the Science of Modern Portfolio Theory to build the "core" part of our portfolios.
We view financial planning as a fluid process which, when integrated with our wealth management services, creates the best opportunities for individuals to gain and maintain financial independence indefinitely.

At its best, financial planning makes the most of clients’ valuable time and resources. Making informed decisions that maximize each client’s time and finances better positions them to achieve their goals both now and in the future. Our background in personal financial planning not only adds quality and purpose to the investment process, but also makes our firm a one-stop, comprehensive solution.

General Information

Gender:

Male

CRD#:

2342077

Firm CRD#:

144905

Insurance License#:

1535868

Name of Custodial Firm:

Shareholders Service Group

States Licensed in:

States Willing to do Business in:

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Fidelity Investments 1993-1995
TD Ameritrade 1996-2006
Gooding Capital Management, LLC 2007-Present

I work with the following types of clients:

Businesses, Investment Clubs, Individual Investors, Non-Profit Organizations

Education

Academic Background

BBA

Services

Investment Types:

Exchange Traded Funds (ETFs), Options & Futures, Mutual Funds, Insurance, Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

Registered Financial Consultant (RFC)

Securities Licenses:

Series 66

Insurance and Annuity Licenses:

Health, Life

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

Firm's Number of Managed Clients:

Assets Managed by Firm:

$8,250,000

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Assets Managed by Advisor:

$8,250,000

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

100,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

Prepared By:

Benjamin Gooding