Thomas Gooley has been Director of Avantax Planning Partners since January 2024, is a control person of the firm and directly owns under 5% of it.
Avantax Planning Partners, Inc. is a Dubuque, IA firm with $7.57B under management, 8,370 clients and 200 advisers across 170 offices, as of its June 2026 filing.
No adviser firm registrations are on Thomas Gooley’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 27 | Financial and Operations Principal Examination | 20 June 2007 |
| Series 7 | General Securities Representative Examination | 13 May 2002 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Andrew Gooley
- CRD
- 4526760
- Firm
- Avantax Planning Partners · CRD 106237
- Role
- Director
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Gooley work?
Thomas Gooley has been Director of Avantax Planning Partners, Inc. since January 2024, and is a control person of the firm.
Does Thomas Gooley have a current investment-adviser registration?
Thomas Gooley has no current investment-adviser or broker registration.
What exams has Thomas Gooley passed?
Thomas Gooley has passed 4 licensing exams: the Series 7, Series 27, Series 79TO and Series 99TO. The earliest, the Series 7, was passed in May 2002. FINRA credited Thomas Gooley with the SIE, which began in October 2018.
Is Thomas Gooley registered with FINRA?
No. Thomas Gooley has no current broker registration.
How can I verify Thomas Gooley’s record?
Search CRD 4526760 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Gooley’s full registration record.
- Jason AllenVice President
- Jeffrey BuchheisterVice President
- Serge BudevichVice President & Tax Officer
- Jennifer HanauVice President
- Todd MackayVice President
- Michael MolnarVice President
- Joseph NearyDirector/Vice President
- Louie RosalezSR. Vice President
- Andrew WattsPresident
- Matthew BregozzoChief Compliance Officer
- Lisa GokDirector/Secretary
- Winnie LeeAsst. Secretary
- Allan ShoresTreasurer
- David Van HavermaatAsst. Secretary
- Tamas VaysAsst. Secretary