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WG

William L. Goss

REGISTER FINANCIAL ASSOCIATES
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 226265
WG

Professional summary

William Leroy Goss, who also goes by Bill Goss, is a registered financial professional currently at REGISTER FINANCIAL ASSOCIATES, INC. located in Atlanta, Georgia.

William is registered as a RR (Registered Representative) and started their career in finance in 1972. William has worked at 13 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Goss

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 William Leroy Goss'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 17, 2016 - Present

REGISTER FINANCIAL ASSOCIATES, INC.

Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326
BD
CRD#: 30568
Atlanta, GA
Past

March 15, 2006 - October 17, 2016

EMERGENT FINANCIAL GROUP, INC.

BD
CRD#: 37891
NORCROSS, GA
Past

July 25, 2001 - September 1, 2005

DUNWOODY BROKERAGE SERVICES, INC.

BD
CRD#: 31183
ATLANTA, GA
Past

April 12, 2001 - June 22, 2001

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

January 7, 1998 - April 12, 2001

REGIONS INVESTMENT COMPANY, INC.

BD
CRD#: 17618
BIRMINGHAM, AL
Past

August 20, 1996 - January 6, 1998

DUNWOODY BROKERAGE SERVICES, INC.

BD
CRD#: 31183
ATLANTA, GA
Past

September 11, 1993 - August 3, 1994

BANK SOUTH SECURITIES CORPORATION

BD
CRD#: 27268
Past

September 6, 1991 - September 10, 1993

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

March 31, 1989 - April 25, 1990

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

July 27, 1988 - April 19, 1989

MARSHALL & CO. SECURITIES, INC.

BD
CRD#: 17942
Past

March 31, 1982 - June 30, 1987

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

January 6, 1977 - April 1, 1982

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

February 18, 1976 - January 6, 1977

DREXEL BURNHAM & CO. INCORPORATED

BD
CRD#: 7013
Past

April 10, 1972 - March 1, 1976

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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
Florida
(11/17/2016)
RR
Georgia
(11/17/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 4/5/1972
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RF
REGISTER FINANCIAL ASSOCIATES, INC.
REGISTER & AKERS INVESTMENTS, INC. | REGISTER INVESTMENTS, INC. | REGISTER FINANCIAL ASSOCIATES, INC.

CRD#: 30568 / SEC#: , 8-45012

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

Main Address
3500 Lenox Road Suite 1700, Atlanta, GA 30326
Mailing Address
3500 Lenox Road Suite 1700, Atlanta, GA 30326
Phone number
(404) 364-2180
Established
Georgia since 07/01/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 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#
REGISTER, GEORGE ROBERTCEO/CHIEF COMPLIANCE OFFICER373031
REGISTER, SCOTT EDWARDPRESIDENT, FINOP, ROSFP, CFO, PFO, POO5239767

Disclosures

Regulatory Event2

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

REGISTER FINANCIAL ASSOCIATES, INC.

CRD#: 30568Atlanta, GA 30326

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