James M. Goggins
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.
James Michael Goggins, CFP®, who also goes by Jim Goggins, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 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
September 2, 2010 - May 5, 2017
USAA FINANCIAL PLANNING SERVICES
September 2, 2010 - May 5, 2017
USAA FINANCIAL ADVISORS, INC.
August 17, 2007 - August 16, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 17, 2007 - August 16, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 5, 2007 - March 23, 2007
STRATEGIC ADVISERS LLC
March 22, 2005 - March 23, 2007
FIDELITY BROKERAGE SERVICES LLC
May 10, 1995 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 21, 1989 - January 3, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
USAA FINANCIAL PLANNING SERVICES
CRD#: 106352 / SEC#: 801-53347
Contact information
Red Flags
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