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TG

Thomas R. Goulet

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CRD#: 1657522
TG

Professional summary

Thomas Robert Goulet was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Thomas had worked at 3 firms, which includes SATURN CAPITAL INC., GROVE POINT INVESTMENTS LLC, WINTHROP SECURITIES CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

March 16, 1995 - April 7, 1995

SATURN CAPITAL, INC.

BD
CRD#: 15412
ST. PETERSBURG, FL
Past

August 8, 1989 - November 12, 1997

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

April 16, 1987 - August 9, 1989

WINTHROP SECURITIES CO., INC.

BD
CRD#: 6925
BOSTON, MA

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
RR
Series 63
Date: 4/10/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 4/7/1987
Direct Participation Programs Representative Examination

Current Firm

SC
SATURN CAPITAL, INC.
CFM SECURITIES, INCORPORATED | THE CENTENNIAL GROUP, INC. | SATURN CAPITAL, INC.

CRD#: 15412 / SEC#: , 8-32136

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1101 4th Street S. Suite 378, St. Petersburg, FL 33701
Mailing Address
1101 4th Street S. Box 302, St. Petersburg, FL 33701
Phone number
(617) 574-3330
Established
Nevada since 12/29/2023
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SATURN ASSET MANAGEMENT TRUST, JEFFREY MCCOMRICK, TRUSTEEDIRECT OWNER OF SATURN CAPITAL, INC
LAFFERTY, EDWARD ALEXANDER MR.FINANCIAL & OPERATIONS PRINCIPAL, CHIEF FINANCIAL OFFICER4624023
MCCORMICK, JEFFREY SCOTTCHIEF COMPLIANCE OFFICER, CEO, PRESIDENT AND TRUSTEE1846046

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.

Company Information

SATURN CAPITAL, INC.

CRD#: 15412

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