Joseph V. Goldy

HIGHLAND FINANCIAL ADVISORS

Wayne, NJ 07470

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CRD#: 4936121

Professional summary

Joseph Vincent Goldy, CFP® is a registered financial advisor currently at HIGHLAND FINANCIAL ADVISORS, LLC located in Wayne, New Jersey.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

Divorce Planning

Socially Responsible Investing

Comprehensive Financial Planni...

Life Transitions

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Joseph Vincent Goldy's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

July 11, 2022 - Present

HIGHLAND FINANCIAL ADVISORS, LLC

Office #1: 1680 Route 23 Suite 210, Wayne, NJ 07470

RIA

CRD#: 125838

Wayne, NJ

Past

February 27, 2018 - April 28, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

WAYNE, NJ

Past

February 26, 2018 - April 28, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Wayne, NJ

Past

February 26, 2018 - April 28, 2020

TD AMERITRADE, INC.

CRD#: 7870

WAYNE, NJ

Past

June 7, 2016 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

April 17, 2006 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

PARSIPPANY, NJ

Past

May 30, 2005 - March 14, 2006

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

MORRISTOWN, NJ

Past

May 18, 2005 - March 14, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

HIGHLAND FINANCIAL ADVISORS, LLC

HIGHLAND FINANCIAL ADVISORS, LLC | UPSWING ADVISOR | TYRAS, FRAASA & ASSOCIATES, LLC

CRD#: 125838 / SEC#: 801-64369

RIA

Registered Investment Advisory firm - (6/23/2005 Approved)

New York

Registered Investment Advisory firm - (6/29/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New Jersey
(7/11/2022)

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 66

Date: 5/27/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2022

General Securities Principal Examination

Current Firm

HIGHLAND FINANCIAL ADVISORS, LLC

HIGHLAND FINANCIAL ADVISORS, LLC | UPSWING ADVISOR | TYRAS, FRAASA & ASSOCIATES, LLC

CRD#: 125838 / SEC#: 801-64369

RIA

Registered Investment Advisory firm - (6/23/2005 Approved)

New York

Registered Investment Advisory firm - (6/29/2005 Terminated)

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Contact information

Main Address

1680 Route 23 Suite 210, Wayne, NJ 07470

Mailing Address

Phone number

(973) 557-2933

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIGHLAND FINANCIAL ADVISORS, LLC FIRM BROCHURE (3/3/2026)

Regulatory assets under management

Total Number of Accounts	1,151
AUM (Assets Under Management)	$ 639,957,200

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.

Contact information

(xxx) xxx-xxxx

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Joseph V. Goldy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Vincent Goldy's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

HIGHLAND FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2005

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 5/17/2005

Series 24

Date: 12/22/2022

Current Firm

HIGHLAND FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HIGHLAND FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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