Thomas E. Goin
Professional summary
Thomas Edward Goin, who also goes by Thomas Edward Goin Jr, Tom Goin, Tommy Goin, Thomas Edward Goin Jr., is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Goin's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2023 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018May 6, 2021 - March 28, 2023
NAVIAN CAPITAL SECURITIES LLC
January 23, 2018 - April 27, 2021
HENNION & WALSH, INC.
June 14, 2012 - October 6, 2016
INCAPITAL DISTRIBUTORS LLC
March 7, 2008 - August 25, 2017
INSPEREX LLC
March 27, 2006 - March 10, 2008
LASALLE FINANCIAL SERVICES, INC.
March 27, 2006 - March 10, 2008
LASALLE FINANCIAL SERVICES, INC.
September 24, 2001 - March 3, 2006
LASALLE FINANCIAL SERVICES, INC.
June 1, 2001 - March 3, 2006
LASALLE FINANCIAL SERVICES, INC.
December 3, 1999 - June 6, 2001
ABN AMRO INCORPORATED
December 15, 1997 - November 24, 1999
UBS 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
(7/19/2023)
(7/19/2023)
(7/19/2023)
Exams
FINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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