AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
GG

George E. Gooley

Some features on this profile are disabled
CRD#: 2615005
GG

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.

George E Gooley was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 2000. George had worked at 4 firms and has passed the Series 66, SIE and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 8, 2009 - July 19, 2011

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SOUTH PORTLAND, ME
Past

March 20, 2009 - June 9, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PORTLAND, ME
Past

March 20, 2009 - August 4, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PORTLAND, ME
Past

July 17, 2002 - March 23, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PORTLAND, ME
Past

July 12, 2002 - March 23, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PORTLAND, ME
Past

March 22, 2000 - July 29, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/4/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/2000
General Securities Representative Examination

Current Firm

SA
SECURITIES AMERICA, INC.
SECURITIES AMERICA FINANCIAL SERVICES | WILLIAMS, WILD & LARSON SECURITIES, INC. | TYMAN SECURITIES, INC. | TMG SECURITIES, INC. | SECURITIES AMERICA, INC. | SECURITIES AMERICA WEALTH MANAGEMENT GROUP

CRD#: 10205 / SEC#: , 8-26602

BD
Terminated by SEC on 08/17/2024
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/08/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITIES AMERICA FINANCIAL CORP.SHAREHOLDER
CHAFFEE, HAROLD GERARDVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2905661
CORNICK, GREGORY ALLENDIRECTOR3132991
FORD, ERINN JUNEINTERIM PRESIDENT, DIRECTOR AND CEO2176816
GERB, JASON HARRISSVP, CHIEF REGULATORY OFFICER3021815
HULETT, KIRK JESSEEXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR2528380
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, DIRECTOR2627931
SCHMIDT, DAVID MARTINTREASURER, FINANCIAL AND OPERATIONS PRINCIPAL5675524

Disclosures

Regulatory Event58
Arbitration27
Bond5

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

SECURITIES AMERICA, INC.

CRD#: 10205

TRUST BUT VERIFY

Monitor George Gooley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.