Steven E. Goad
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.
Steven Eugene Goad, who also goes by Steve Goad, Steven E Goad, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 6 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2019 - June 28, 2024
FRY INVESTMENT ADVISORS, INC.
September 11, 2002 - July 20, 2018
THE TAVENNER COMPANY
April 24, 1997 - September 16, 2002
WESTMINSTER FINANCIAL SECURITIES, INC.
October 30, 1996 - April 17, 1997
OMNI FINANCIAL SECURITIES, INC.
October 6, 1989 - May 23, 1997
WOODBURY FINANCIAL SERVICES, INC.
November 22, 1988 - August 11, 1989
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 26, 1986 - December 12, 1988
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FRY INVESTMENT ADVISORS, INC.
CRD#: 300109 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 144 |
| AUM (Assets Under Management) | $ 18,695,635 |
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.
