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SG

Scott V. Gooch

JONESTRADING
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2257703
SG

Professional summary

Scott Vincent Gooch is a registered financial professional currently at JONESTRADING located in Dallas, Texas.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 24 exams.

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) - BD

Click below to view Scott Vincent Gooch'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

June 6, 2016 - Present

JONESTRADING

Office #1: 500 N. Akard Street Suite 1575, Dallas, TX 75201
BD
CRD#: 6888
Dallas, TX
Past

May 20, 1998 - March 1, 2016

JEFFERIES LLC

BD
CRD#: 2347
DALLAS, TX
Past

September 10, 1996 - May 18, 1998

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

September 6, 1994 - September 26, 1996

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

September 16, 1992 - September 13, 1994

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(11/7/2016)
RR
California
(8/10/2017)
RR
Colorado
(6/6/2016)
RR
Illinois
(6/6/2016)
RR
New York
(6/6/2016)
RR
Oklahoma
(6/6/2016)
RR
Texas
(6/6/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/15/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/17/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/26/1999
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/14/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.

CRD#: 6888 / SEC#: , 8-26089

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

Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
JONES & ASSOCIATES, INC.HOLDING COMPANY
BELL, JEREMY DAVIDCCO4498676
CHMIELEWSKI, STEVEN ANDREWDIRECTOR2066307
COHEN, SHLOMODIRECTOR2877188
COOK, BURKE MCCLAINCORPORATE SECRETARY / LEGAL COUNSEL4863190
HILL, ALAN FINBARCEO / DIRECTOR5182098
KIRSCH, WILLIAM TANNERDIRECTOR5428522
LEVEEN, JEFFREY EARLE JRDIRECTOR2919172
MICSKY, JEFFREY ADIRECTOR4820920
ONEIL, TIMOTHY DAWSONEXECUTIVE CHAIRMAN2355507
TESORO, ANTHONY JAMESDIRECTOR
TESORO, PHILLIP JAMESDIRECTOR2009378
WONG, JEFFREY RYANFINANCIAL AND OPERATIONS PRINCIPAL4428807

Disclosures

Regulatory Event9

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

JONESTRADING

CRD#: 6888Dallas, TX 75201

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