Dennis I. Goff
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.
Dennis Irving Goff was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1967. Dennis had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - December 31, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 1, 1983 - January 16, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 3, 1982 - April 1, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 17, 1980 - September 10, 1981
RAUSCHER PIERCE REFSNES, INC.
December 6, 1978 - March 29, 1980
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 27, 1976 - June 27, 1977
BACHE HALSEY STUART INC.
March 16, 1976 - August 27, 1976
BACHE & CO INCORPORATED
November 20, 1975 - February 8, 1976
YOUNG, SMITH & PEACOCK, INC.
November 17, 1967 - December 4, 1972
LOEWI & CO., INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 1
Date: 12/19/1961
Registered Representative ExaminationSeries 40
Date: 12/20/1978
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
