Joseph Goh has been an investment adviser representative at Financial & Tax Architects since December 2025, and is not listed among the firm’s executive officers or direct owners.
Financial & Tax Architects, LLC is a St. Louis, MO firm with $506M under management, 1,574 clients and 40 advisers across 22 offices, as of its June 2026 filing.
Joseph Goh’s longest registration was 5 years at Prudential Financial Planning Services (2019–2024). Before joining Financial & Tax Architects in 2025, Joseph Goh was registered through LPL Enterprise, LLC and Prudential Financial Planning Services.
- – present · under a yearPlano, TX · Adviser representative · Firm CRD 119169
- LPL Enterprise, LLC– · 1 yearPlano, TX · Adviser representative · Firm CRD 8733
- Prudential Financial Planning Services– · 5 yearsPlano, TX · Adviser representative · Firm CRD 5685
Investment adviser representative registrations
Joseph Goh is registered as an investment adviser representative in Texas, since December 2025.
- TexasSince 18 December 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 30 November 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 June 2018 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 March 2018 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- CRD
- 6881039
- Firm
- Financial & Tax Architects · CRD 119169
- Office
- 6860 Dallas Pkwy, #200 Suite, Plano, TX 75024
- Registration
- Investment adviser registration
- In the industry since
- June 2018
- Disciplinary history
- Not yet shown here · SEC record
Where does Joseph Goh work?
Joseph Goh is an investment adviser representative registered through Financial & Tax Architects, LLC since December 2025, and is not listed among the firm’s executive officers or direct owners.
Is Joseph Goh a financial advisor?
Yes. Joseph Goh has a current investment-adviser registration in Texas, through Financial & Tax Architects since December 2025.
How many years of experience does Joseph Goh have?
Joseph Goh has 8 years in the financial industry, since June 2018, across 3 adviser firms.
What exams has Joseph Goh passed?
Joseph Goh has passed 3 licensing exams: the Series 63, Series 6 and Series 65. The earliest, the Series 63, was passed in March 2018. FINRA credited Joseph Goh with the SIE, which began in October 2018.
Where did Joseph Goh work before Financial & Tax Architects?
Before Financial & Tax Architects, Joseph Goh was registered through LPL Enterprise, LLC, November 2024 to December 2025; Prudential Financial Planning Services, January 2019 to November 2024.
Where is Joseph Goh based?
Joseph Goh’s registered office is in Plano, TX.
Is Joseph Goh registered with FINRA?
No. Joseph Goh has no current broker registration.
How can I verify Joseph Goh’s record?
Search CRD 6881039 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Goh’s full registration record.
David BrooksChief Executive Officer
Gordon HaavePresident and Chief Investment Officer- Paul FelschChief Compliance Officer & Legal Counsel