Joel Phillips Gooch
Professional Summary
Joel Phillips Gooch is a registered financial advisor currently at GEMINI ESTATE PLAN LLC located in Conroe, Texas. Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joel has worked at 3 firms and has passed the Series 65, Series 63, Series 6 and Series 22 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
GEMINI ESTATE PLAN LLC
Contact Information
Main Address
Conroe, TXPhone Number
(936) 443-3433# of Employees
1Documents
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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.
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State Registrations and Notice Filings
(7/31/2009)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2000About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Apr 1984About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joel Phillips Gooch's CRS (Customer Relationship Summary).
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