Tommie J. Goggans

GOGGANS GROUP

Gadsden, AL 35901

Some features on this profile are disabled

CRD#: 3235292

Professional summary

Tommie Jacob Goggans III, who also goes by Tommie Jacob Goggins III, is a registered financial advisor currently at GOGGANS GROUP INC located in Gadsden, Alabama.

Tommie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Tommie has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tommie Jacob Goggins Iii

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) - RIA

Click below to view Tommie Jacob Goggans III'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®

None

Experience

Current

January 1, 2016 - Present

GOGGANS GROUP INC

Office #1: 309 Broad St, Gadsden, AL 35901Office #2: 612 Broad St Suite 100, Gadsden, AL 35901

RIA

CRD#: 155039

Gadsden, AL

Past

November 4, 2013 - December 31, 2015

GOGGANS GROUP INC

RIA

CRD#: 155039

GADSDEN, AL

Past

July 30, 2010 - October 31, 2013

CAPITAL MANAGEMENT ADVISORS INC

RIA

CRD#: 110447

ANNISTON, AL

Past

July 15, 1999 - November 2, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ANNISTON, AL

Past

June 21, 1999 - November 2, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 21, 1999 - November 2, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ANNISTON, AL

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

Alabama
(1/1/2016)

IAR

Texas
(6/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/1999

General Securities Representative Examination

Current Firm

GOGGANS GROUP INC

CRD#: 155039 / SEC#:

Alabama

Registered Investment Advisory firm - (1/1/2016 Approved)

Texas

Registered Investment Advisory firm - (5/15/2025 Conditional Restricted)

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

309 Broad St, Gadsden, AL 35901

Mailing Address

Po Box 7195, Gadsden, AL 35906-7195

Phone number

(844) 464-4267

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 14,454,064

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.

Similar Advisors

Adriel Tam

THE ENSEMBLE TEAM

IAR

SEATTLE, WA

Faisal Al-hashim

MAXIAM CAPITAL, LLC

IAR

Portland, OR

Steven Chase

OSAIC WEALTH, INC.

Belgrade, MT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tommie J. Goggans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tommie Jacob Goggans III's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOGGANS GROUP INC

GOGGANS GROUP INC

CAPITAL MANAGEMENT ADVISORS INC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/2008

Series 63

Date: 6/26/1999

Series 7

Date: 6/19/1999

Current Firm

GOGGANS GROUP INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GOGGANS GROUP INC

TRUST BUT VERIFY

Similar Advisors