Harold G. Goodlett

WORTH ADVISORS

Charlotte, NC 28203

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CRD#: 1947269

Professional summary

Harold Gregory Goodlett, who also goes by Greg Goodlett, is a registered financial advisor currently at WORTH ADVISORS located in Charlotte, North Carolina.

Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Harold has worked at 8 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Goodlett

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.

01/2010: FIXED INSURANCE AND ANNUITIES THROUGH HIGHLAND CAPITAL CHARLOTTE NC; HOURS UNK; INVESTMENT RELATED 10/2010: CASHIER, RITE AID; 15-20 HRS/WEEK DURING NON MARKET HOURS; NON INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold Gregory Goodlett's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 26, 2012 - Present

WORTH ADVISORS

Office #1: 2020 S. Tryon Street Suite 2b, Charlotte, NC 28203

RIA

CRD#: 156564

Charlotte, NC

Past

August 28, 2012 - November 27, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

CHARLOTTE, NC

Past

February 13, 2012 - November 27, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

CHARLOTTE, NC

Past

July 10, 2009 - February 14, 2012

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

March 19, 2004 - January 28, 2009

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

CHARLOTTE, NC

Past

July 28, 2000 - January 28, 2009

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

CHARLOTTE, NC

Past

April 29, 1997 - July 28, 2000

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

September 8, 1995 - April 30, 1997

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

July 31, 1993 - September 14, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 24, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WORTH ADVISORS

PATRICK LYNCH FINANCIAL | WORTH FINANCIAL ADVISORY GROUP, LLC | WORTH FINANCIAL ADVISORY GROUP LLC | WORTH FINANCIAL ADVISORY GROUP | WORTH ADVISORS

CRD#: 156564 / SEC#: 801-120877

RIA

Registered Investment Advisory firm - (4/21/2021 Approved)

Michigan

Registered Investment Advisory firm - (4/26/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (4/26/2021 Terminated)

Tennessee

Registered Investment Advisory firm - (4/28/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(11/26/2012)

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

State Security Law Exam

IAR

Series 66

Date: 8/27/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/20/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/25/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

Current Firm

WORTH ADVISORS

PATRICK LYNCH FINANCIAL | WORTH FINANCIAL ADVISORY GROUP, LLC | WORTH FINANCIAL ADVISORY GROUP LLC | WORTH FINANCIAL ADVISORY GROUP | WORTH ADVISORS

CRD#: 156564 / SEC#: 801-120877

RIA

Registered Investment Advisory firm - (4/21/2021 Approved)

Michigan

Registered Investment Advisory firm - (4/26/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (4/26/2021 Terminated)

Tennessee

Registered Investment Advisory firm - (4/28/2021 Terminated)

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Contact information

Main Address

2020 S. Tryon Street Suite 2b, Charlotte, NC 28203

Mailing Address

Phone number

(704) 731-0121

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/26/2025)

Regulatory assets under management

Total Number of Accounts	1,370
AUM (Assets Under Management)	$ 232,915,337

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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Harold G. Goodlett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold Gregory Goodlett's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

LEIGH BALDWIN & CO., LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

ROUND HILL SECURITIES, INC.

FIRST UNION CAPITAL MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

WORTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2012

Series 65

Date: 2/20/2002

Series 63

Date: 5/25/1989

Series 7

Date: 5/20/1989

Current Firm

WORTH ADVISORS

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WORTH ADVISORS

TRUST BUT VERIFY

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