Thomas E. Goodrich
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.
Thomas Edward Goodrich was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 7 firms and has passed the Series 66, Series 63, 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
June 27, 2011 - May 25, 2012
P.J. ROBB VARIABLE, LLC
May 17, 2007 - June 9, 2011
ALLSTATE FINANCIAL SERVICES, LLC
June 22, 2006 - May 7, 2007
SOUTHEAST INVESTMENTS, N.C., INC.
March 28, 2005 - June 29, 2006
A. G. EDWARDS & SONS, INC.
March 16, 2005 - June 29, 2006
A. G. EDWARDS & SONS, INC.
January 1, 1991 - November 2, 1992
NORTH AMERICAN MANAGEMENT, INC.
May 24, 1990 - November 13, 1990
METROPOLITAN LIFE INSURANCE COMPANY
May 24, 1990 - November 13, 1990
MSI 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
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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