Gary S. Brand

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CRD#: 5136539

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.

Gary Stephen Brand, CFP® was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 2006. Gary had worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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: 2012

Experience

Past

January 20, 2014 - October 31, 2016

THE GOFF FINANCIAL GROUP

RIA

CRD#: 114796

HOUSTON, TX

Past

November 2, 2006 - December 31, 2013

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

STAFFORD, TX

Past

November 2, 2006 - December 31, 2013

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

STAFFORD, TX

Past

August 8, 2006 - October 3, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

July 20, 2006 - October 3, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, TX

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".

THE GOFF FINANCIAL GROUP

CRD#: 114796 / SEC#: 801-62129

RIA

Registered Investment Advisory firm - (6/19/2003 Approved)

Texas

Registered Investment Advisory firm - (5/18/2006 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/7/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/2006

General Securities Representative Examination

Current Firm

THE GOFF FINANCIAL GROUP

CRD#: 114796 / SEC#: 801-62129

RIA

Registered Investment Advisory firm - (6/19/2003 Approved)

Texas

Registered Investment Advisory firm - (5/18/2006 Terminated)

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Contact information

Main Address

11 Greenway Plaza Suite 1425, Houston, TX 77046

Mailing Address

Po Box 22128, Houston, TX 77227-2128

Phone number

(713) 850-8900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOFF ADV 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	639
AUM (Assets Under Management)	$ 572,591,176

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.

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Firm Stability Insights

Gary S. Brand

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE GOFF FINANCIAL GROUP

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THE GOFF FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 8/7/2006

Series 7

Date: 7/19/2006

Current Firm

THE GOFF FINANCIAL GROUP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE GOFF FINANCIAL GROUP

TRUST BUT VERIFY

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