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Thomas Gooley

Avantax Investment Services, Inc.

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About Thomas Gooley

Thomas Gooley is a financial advisor who has been in the industry since 2005. Thomas currently works with Avantax Investment Services, Inc. Previously, Thomas worked with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC, and Cetera Investment Services LLC. Thomas has held his Series 7, Series 27, Series 79TO, Series 99TO, and SIE licenses and is registered with FINRA.

Firm Information

Thomas Gooley is currently registered with Avantax Investment Services, Inc.. Avantax Investment Services, Inc. is a Corporation formed in April 1983. The firm is registered with the SEC and in 53 states, providing services across the United States.

Not reported

Assets Under Management

Not reported

Total Clients

482

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.

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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Thomas Gooley’s Registration & Firm History

TX

07/01/2024 - Present

Avantax Investment Services, Inc. (DALLAS TX)

CA

01/01/2021 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CA

08/05/2015 - 03/25/2019

LPL FINANCIAL LLC (SAN DIEGO CA)

NY

10/01/2014 - 06/30/2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)

NY

05/19/2009 - 01/15/2014

MORGAN STANLEY (NEW YORK NY)

NY

08/27/2008 - 01/15/2014

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

02/27/2006 - 05/19/2008

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

05/14/2002 - 01/24/2006

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/20/2007

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/13/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Gooley.
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