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Type: Dual Registration

James Goff is a financial professional at Royal Alliance Associates, Inc., a broker-dealer with over 2,050 registered representatives nationwide. James has held an industry securities registration for 33 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Royal Alliance Associates, Inc. 3 years, 9 months Jul 2010 - Present
Nationwide Securities, Inc. 1 year, 11 months Aug 2008 - Jul 2010
Cap1Tol Street Financial Services Group, LLC 9 years, 6 months Oct 2004 - Present
1717 Capital Management Co 5 years, 10 months Sep 2004 - Jul 2010
Nationwide Provident 5 years, 10 months Sep 2004 - Jul 2010
Mercer University Medical School 11 years, 5 months Nov 2002 - Present
The Equitable Life Assurance Society of The United States 29 years, 1 month Jul 1975 - Aug 2004
The Equitable Life Assurance Society of 29 years, 1 month Jul 1975 - Aug 2004
Eq Financial Consultants, Inc. 29 years, 1 month Jul 1975 - Aug 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/05/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 05/19/1999
Uniform Investment Adviser Law Examination Series 65 04/05/1999
Corporate Securities Limited Representative Examination Series 62 05/16/1991
General Securities Principal Examination Series 24 08/10/1989
Uniform Securities Agent State Law Examination Series 63 02/12/1986
Registered Representative Examination Series 1 10/08/1979

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions