Five Star award winners Goodman Financial Corporation

PROFESSIONAL PROFILE

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Goodman Financial Corporation

5177 Richmond Ave Ste 700

Houston, TX 77056

Office: 7135991777

goodmanfinancial.com

Professional Approach

We are a fee-only investment management and financial advisory firm that has no affiliation with any insurance company, bank, mutual fund or brokerage firm. Our independent model and high ethical standards focuses us on keeping our clients’ goals as our top priority in all of the investment decisions that we make.

We actively manage individual stocks and bonds in customized investment portfolios which provides greater flexibility, tax-efficiency, and lower expenses to our clients. Our clients also receive financial advice on a wide range of areas, with risk management playing a key part in both the financial advisory and investment decisions that we make. As an additional safeguard to our clients, investment assets are held by insured, third-party custodians.

Beyond our commitment to our clients, we are also committed to philanthropy and giving back to our community.

Steven R. Goodman, CPA, CFP®

President

Phone: 713-599-1777

Steve Goodman is a CPA and CERTIFIED FINANCIAL PLANNER™ Practitioner and founded Goodman Financial Corporation in 1989 as a fee-only firm delivering client service as fiduciaries. He serves as President of the 17-person firm which employs eight CPAs, six credentialed financial planning professionals, and two CFA® professionals in providing financial advisory and money management services under a single fee structure, with a greater than 95% average annual client retention ratio. He is a past chairman of the Texas Society of CPAs, past president of the Houston CPA Society and former member of the governing council of the AICPA. He is a longtime member of the Houston Estate & Financial Forum and the Charitable Gift Planners of Houston. Prior to Goodman Financial Corporation, Steve worked in the Big 4 public accounting firm Ernst & Young as a tax consultant. He holds a Master’s of Science in Accountancy and Taxation as well as a Bachelor of Science from the University of Houston.

Charlotte M. Jungen, CPA, CFP®

Chief Operating Officer

Phone: 713-599-1777

Charlotte Jungen is a CPA and CERTIFIED FINANCIAL PLANNER™ Practitioner and joined Goodman Financial Corporation in 2013. She serves as Chief Operating Officer of the 17-person firm which employs eight CPAs, six credentialed financial planning professionals, and two CFA® professionals in providing financial advisory and money management services under a single fee structure, with a greater than 95% average annual client retention ratio. She is a past president of the Southeast Texas Chapter of the Texas Society of CPAs, current board member of the Texas Society of CPAs and the Houston CPA Society, and a current member of the governing council of the AICPA. She is a longtime member of the Lamar University Legacy Society and currently serves on the Lamar University College of Business Advisory Board. Prior to joining Goodman Financial Corporation, Charlotte was a shareholder of a public accounting firm located in Beaumont. She holds a Bachelor of Business Administration in Accounting from Lamar University.

See Accomplishments

This award was issued on 7/1/20 by Five Star Professional (FSP) for the time period 09/30/2019 through 04/17/2020. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 3219 Houston-area wealth managers were considered for the award; 174 (5% of candidates) were named 2020 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2019: 2992, 209, 7%, 7/1/19, 10/15/18 - 4/26/19; 2018: 3114, 218, 7%, 7/1/18, 10/27/17 - 5/21/18; 2017: 2000, 228, 11%, 7/1/17, 10/24/16 - 5/24/17; 2016: 1763, 437, 25%, 6/1/16, 10/16/15 - 5/16/16; 2015: 2289, 408, 18%, 7/1/15, 10/16/14 - 5/16/15; 2014: 3958, 410, 10%, 7/1/14, 10/16/13 - 5/16/14; 2013: 3001, 504, 17%, 8/1/13, 10/16/12 - 5/16/13; 2012: 2105, 425, 20%, 7/1/12, 10/16/11 - 5/16/12.

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This firm is not a CPA firm. Professional designations are not endorsed by the SEC or other regulatory body and do not guarantee a certain level of training or expertise. Please consult your Investment Advisor Representative’s ADV Part 2B (Brochure Supplement) for detailed information about any professional designation he or she holds.

CFA® and Chartered Financial Analyst® are registered trademarks owned by CFA Institute.

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria-required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria-considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance . Wealth Managers may or may not use discretion in their practice and therefore may not manage their clients' assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.