Adam Goddard

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CRD#: 1264314

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Adam Goddard was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 1984. Adam had worked at 14 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2021 - January 4, 2022

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412

TEA, SD

Past

April 16, 2021 - October 1, 2021

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744

GARDEN CITY, NY

Past

June 26, 2015 - March 11, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BETHESDA, MD

Past

June 26, 2015 - March 11, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BETHESDA, MD

Past

June 1, 2009 - July 15, 2015

MORGAN STANLEY

RIA

CRD#: 149777

BETHESDA, MD

Past

June 1, 2009 - July 15, 2015

MORGAN STANLEY

CRD#: 149777

BETHESDA, MD

Past

December 19, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BETHESDA, MD

Past

December 11, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BETHESDA, MD

Past

June 4, 2004 - December 24, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WASHINGTON, DC

Past

June 4, 2004 - December 24, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WASHINGTON, DC

Past

November 24, 1999 - June 7, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WASHINGTON, DC

Past

October 1, 1999 - June 7, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 27, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

July 19, 1993 - January 4, 1999

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

July 19, 1989 - July 21, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 19, 1989 - July 21, 1993

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

March 29, 1988 - June 17, 1989

FOXHALL GROUP SECURITIES, INC.

CRD#: 19722

Past

July 27, 1987 - May 10, 1988

FIRST CHESAPEAKE SECURITIES CORPORATION

CRD#: 10517

Past

August 16, 1984 - June 19, 1987

FIRST ATLANTIC INVESTMENT CORP.

CRD#: 13062

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/7/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/15/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/24/1984

Direct Participation Programs Representative Examination

Current Firm

VARIABLE INVESTMENT ASSOCIATES, INC.

VARIABLE INVESTMENT ADVISORS, INC. | VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412 / SEC#: , 8-50699

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

750 E. 1st Street, Tea, SD 57064

Mailing Address

750 E. 1st Street, Tea, SD 57064

Phone number

(605) 361-8230

Established

South Dakota since 10/03/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WILSON, GREGORY STEVEN	PRESIDENT / CEO / CCO / COO/	1272680
FONDER, TERRY JOSEPH	FINOP	5561085
WILSON, KYLE WAGNER	ASSISTANT CEO	5212895

Disclosures

Regulatory Event

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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Adam Goddard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JOSEPH STONE CAPITAL L.L.C.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

MOORS & CABOT, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

FOXHALL GROUP SECURITIES, INC.

FIRST CHESAPEAKE SECURITIES CORPORATION

FIRST ATLANTIC INVESTMENT CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/7/1993

Series 63

Date: 7/13/1984

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 7/15/2003

Series 7

Date: 2/15/1986

Series 22

Date: 5/24/1984

Current Firm

VARIABLE INVESTMENT ASSOCIATES, INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VARIABLE INVESTMENT ASSOCIATES, INC.

TRUST BUT VERIFY

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