David N. Goodson

PROFFITT & GOODSON

KNOXVILLE, TN 37919

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CRD#: 1186819

Professional summary

David Norton Goodson is a registered financial advisor currently at PROFFITT & GOODSON INC. located in Knoxville, Tennessee.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. David has worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Dryad Properties Partnership, Partner, P.O. Box 11629, Knoxville, TN 39739 - Real Estate Partnership, Non-Investment Related (06/2019-Present), <5 hrs/wk, <20 hrs/mo, 0 hrs/mo during securities trading hours. Partnership owns Knoxville office and rents it to Proffitt & Goodson Inc. for use as its principal location.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Norton Goodson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 4, 2004 - Present

PROFFITT & GOODSON INC.

Office #1: 4800 Old Kingston Pike, Knoxville, TN 37919

RIA

CRD#: 105278

KNOXVILLE, TN

Past

September 27, 1983 - June 25, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROFFITT & GOODSON INC.

CRD#: 105278 / SEC#: 801-28292

RIA

Registered Investment Advisory firm - (11/7/1986 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(2/4/2004)

IAR

Texas
(12/14/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/3/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/24/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Current Firm

PROFFITT & GOODSON INC.

CRD#: 105278 / SEC#: 801-28292

RIA

Registered Investment Advisory firm - (11/7/1986 Approved)

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Contact information

Main Address

4800 Old Kingston Pike, Ste 200, Knoxville, TN 37919-6424

Mailing Address

P.o. Box 11629, Knoxville, TN 37939-1629

Phone number

(865) 584-1850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROFFITT & GOODSON FIRM DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	838
AUM (Assets Under Management)	$ 680,169,650

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2024	Cover Page	Report
10/20/2023	Cover Page	Report
08/26/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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David N. Goodson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Norton Goodson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROFFITT & GOODSON INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

PROFFITT & GOODSON INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/1983

Series 3

Date: 10/24/1983

Series 7

Date: 9/17/1983

Current Firm

PROFFITT & GOODSON INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PROFFITT & GOODSON INC.

TRUST BUT VERIFY

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