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James Rodney Goff

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Information

Firm:
Type: Dual Registration
Description

James Goff is a financial professional at Royal Alliance Associates, Inc., a broker-dealer with over 1,900 registered representatives nationwide. James has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Royal Alliance Associates, Inc 4 years, 3 months Jul 2010 - Present
Nationwide Securities, Inc. 1 year, 11 months Aug 2008 - Jul 2010
Cap1Tol Street Financial Services Group, LLC 10 years Oct 2004 - Present
Nationwide Provident 5 years, 10 months Sep 2004 - Jul 2010
1717 Capital Management Co 5 years, 10 months Sep 2004 - Jul 2010
Mercer University Medical School 11 years, 12 months Nov 2002 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 04/05/1999
Uniform Securities Agent State Law ExaminationSeries 63 02/12/1986

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

James Rodney Goff has not answered any questions on Financial Q&A.

Top Guides

James Rodney Goff has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
09/22/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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