Thomas A. Gooley
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.
Thomas Andrew Gooley, who also goes by Thomas A Gooley, Thomas Andrew Gooley, Thomas Gooley, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2002. Thomas had worked at 12 firms and has passed the Series 79TO, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
January 1, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
January 1, 2021 - April 1, 2026
CETERA WEALTH SERVICES, LLC
January 1, 2021 - April 1, 2026
CETERA INVESTMENT SERVICES LLC
January 1, 2021 - April 1, 2026
CETERA FINANCIAL SPECIALISTS LLC
January 1, 2021 - April 1, 2026
CETERA ADVISORS LLC
August 5, 2015 - March 25, 2019
LPL FINANCIAL LLC
October 1, 2014 - June 30, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 19, 2009 - January 15, 2014
MORGAN STANLEY
August 27, 2008 - January 15, 2014
MORGAN STANLEY & CO. LLC
February 27, 2006 - May 19, 2008
BANC OF AMERICA SECURITIES LLC
May 14, 2002 - January 24, 2006
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
| Bond | 1 |
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.
