LG
Lynne R. Goldsmith
GOOGINS ADVISORS,
Middleton, WI 53562
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CRD#: 2969176
LG
Professional summary
Lynne Ripple Goldsmith, CFP®, who also goes by Lynne Ripple Peterson, is a registered financial advisor currently at GOOGINS ADVISORS, INC located in Middleton, Wisconsin.
Lynne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Lynne has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lynne Ripple Peterson
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.
OAA#: 2393 | ORG NAME:EBAY SELLER | ORG ADDR:SUN PRAIRIE,WI, US | NATURE OF BUS:SELLING GARAGE SALE ITEMS, BOOKS | INVST REL:N | TITLE:ONLINE SALES | DUTIES:ONLINE GARAGE SALES. | START DT:01/09/2009 | TOTAL HRS P/M:8 | SEC TRDNG HRS P/M:0 ORG NAME: RIPPLE HOUSE LLC | INVST REL: N | ORG ADDR: ITHACA, NY, US | NATURE OF BUS: HOME RENTAL | POSITION: MGR | START DT: 02/2022 | HRS/MONTH: 32 | SEC TRDNG HRS/MONTH: 0 | DUTIES: RENTAL, PROFITABILTY, AND MAINTENENCE OF PROPERTY ORG NAME: AVALON CREEK FARM LLC | INVST REL: N | ORG ADDR: SUN PRAIRIE, WI, US | NATURE OF BUS: AGRICULTURE/FARM \ POSITION: OWNER, MGR | START DT: 01/2017 |HRS/MONTH: 8 | SEC TRDNG HRS/MONTH: 0 | DUTIES: PROFITABILITY AND MGMT OF PROPERTY, PRIMARILY THRU LEASES
CRS (Client Relationship Summary) - RIA
Click below to view Lynne Ripple Goldsmith's 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®
Experience
Current
March 3, 2022 - Present
GOOGINS ADVISORS, INC
Office #1: 6417 University Avenue, Middleton, WI 53562RIA
CRD#: 13985
Middleton, WI
Past
October 26, 2006 - April 20, 2016
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MIDDLETON, WI
Past
July 8, 2005 - April 13, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MIDDLETON, WI
Past
September 27, 2004 - June 24, 2005
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
IRVING, TX
Past
September 8, 2004 - June 24, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
December 8, 2003 - September 21, 2004
LEO BROKERAGE, LLC
BD
CRD#: 109121
HURST, TX
Past
January 1, 1998 - November 21, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GA
GOOGINS ADVISORS, INC
GOOGINS & ANTON, INC. | GOOGINS ADVISORS, INC. | GOOGINS ADVISORS, INC | GOOGINS & CO., INC. | GOOGINS & BEST, INC. | GOOGINS & BAST, INC.
CRD#: 13985 / SEC#: 801-68432, 8-30116
RIA
Registered Investment Advisory firm - SEC (11/6/2007 Approved)Texas
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)BD
Terminated by SEC on 08/25/2022
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Wisconsin(3/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GA
GOOGINS ADVISORS, INC
GOOGINS & ANTON, INC. | GOOGINS ADVISORS, INC. | GOOGINS ADVISORS, INC | GOOGINS & CO., INC. | GOOGINS & BEST, INC. | GOOGINS & BAST, INC.
CRD#: 13985 / SEC#: 801-68432, 8-30116
RIA
Registered Investment Advisory firm - SEC (11/6/2007 Approved)Texas
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)BD
Terminated by SEC on 08/25/2022
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Contact information
Main Address
6417 University Avenue, Middleton, WI 53562
Mailing Address
Phone number
(608) 514-1044
Established
Wisconsin since 07/01/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
8
SEC notice filing (15 States and Territories)
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOOGINS, LOUISE PAULSON | PRESIDENT, TREASURER, CCO, FINANCIAL OPERATIONS MANAGER, CHIEF COMPLIANCE OFFICER | 857700 |
Regulatory assets under management
| Total Number of Accounts | 1,687 |
| AUM (Assets Under Management) | $ 501,043,111 |
Disclosures
| Regulatory Event | 2 |
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.
