Thomas W. Godfrey
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 William Godfrey was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 12 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2011 - May 5, 2014
RAND & ASSOCIATES
April 29, 2011 - August 10, 2012
S F SENTRY SECURITIES, INC.
April 26, 2011 - August 10, 2012
SAN FRANCISCO SENTRY INVESTMENT GROUP
February 4, 2008 - March 31, 2011
HOWE BARNES CAPITAL MANAGEMENT, INC.
February 4, 2008 - March 31, 2011
HOWE BARNES HOEFER & ARNETT, INC.
June 2, 2005 - February 5, 2008
QUEST CAPITAL STRATEGIES, INC.
March 23, 2000 - June 9, 2003
DEAM INVESTOR SERVICES, INC.
February 21, 1991 - February 11, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 25, 1989 - June 15, 1990
KIDDER, PEABODY & CO. INCORPORATED
July 25, 1987 - April 7, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
November 29, 1984 - July 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
December 22, 1980 - September 4, 1984
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/9/1981
Interest Rate Options ExaminationSeries 8
Date: 8/7/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAND & ASSOCIATES
CRD#: 157807 / SEC#: 801-72391
Contact information
Red Flags
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