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Raymond James Gooley

Advisors Asset Management, Inc.

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About Raymond James Gooley

Raymond James Gooley is a financial professional with over 30 years of experience in the industry. Raymond is currently registered with Advisors Asset Management, Inc. located in Princeton, NJ. Raymond's previous experience includes positions at Managed Account Services, LLC, UBS Global Asset Management (US) Inc., Prudential Investment Management Services LLC, NYLIFE Securities Inc., Dean Witter Reynolds Inc., and First Investors Corporation. Raymond has a strong track record of success in the financial services industry, holding several licenses and certifications including Series 79TO, SIE, Series 7, and Series 6. Raymond is committed to providing his clients with the highest level of service and expertise.

Firm Information

Raymond Gooley is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Raymond Gooley’s Registration & Firm History

NJ

09/17/2009 - Present

Advisors Asset Management, Inc. (PRINCETON NJ)

PA

01/03/2006 - 09/11/2009

MANAGED ACCOUNT SERVICES, LLC (WAYNE PA)

NY

04/14/2000 - 12/15/2005

UBS GLOBAL ASSET MANAGEMENT (US) INC. (NEW YORK NY)

NJ

06/11/1997 - 05/03/2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

NY

04/18/1995 - 05/09/1997

NYLIFE SECURITIES INC. (NEW YORK NY)

NY

01/05/1993 - 03/16/1995

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NJ

07/21/1992 - 01/21/1993

FIRST INVESTORS CORPORATION (EDISON NJ)

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Licenses & Designations

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/23/1993

Series 7 - General Securities Representative Examination

BC

Issued 07/17/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Raymond James Gooley.
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