With over 35 years of experience, Carol helps you to feel confident about your planning. She is the past president of the Oak Brook Financial Planning Association, and has been a member of the Du Page County Estate Planning Council and the Chicago Council on Planned Giving. She was a board member of DuPage PADS, a homeless non-profit advocacy organization in her community. She is passionate about helping animals to find loving homes and has adopted and fostered dogs. She attends training events and conferences to stay current on planning issues.
Carol has passed the Series 65 and Series 63 State Securities Law Exam and has passed the Series 3, Series 5 and Series 7 Exams. She holds licenses in: Arizona, California, Colorado, Florida, Illinois, Indiana, Minnesota, Montana, North Carolina, and Virginia.
Lea Goodman is a managing partner of The Legacy One Group, Houston, Texas and a Managing Field Advisor/OSJ of FSC Securities Corporation, member FINRA/SIPC. She holds Series 4, 7, 24, 53, 63, and 65 registrations, is registered in all 50 states and as an agent for multiple national carriers of Life, Accident, Health and HMO Insurance with the Texas Department of Insurance.
Prior to joining The Legacy One Group as a business partner with Richard Ethun in August 2000, Lea served as President, Tower Square Securities, from 1999-2000. From 1995-1999, she served as President of Advantage Capital Corporation (which was merged into FSC in 2009), as ACC Chief Operating Officer from 1990-1995 and ACC General Counsel from 1985-1990.
She graduated with a Bachelor’s degree from the University of Houston, TX, and a Juris Doctor degree from the University of Houston’s Bates College of Law. In a highly regulated and intensely supervised business such as the securities industry, we believe Lea’s professional management, supervisory and legal skill sets serve well our client’s interests, our division and that of our broker dealer, FSC Securities Corporation. As business partners, Lea and Richard strive to create and maintain a company with the highest professional and ethical standards to provide our clients sound investment advice in keeping with their particular financial needs and risk tolerance.