LG
Louise P. Googins
GOOGINS ADVISORS,
Middleton, WI 53562
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CRD#: 857700
LG
Professional summary
Louise Paulson Googins, who also goes by Louise P Googins, Louise Paulson, is a registered financial advisor currently at GOOGINS ADVISORS, INC located in Middleton, Wisconsin.
Louise is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Louise has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 1, Series 14, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Louise P Googins | Louise Paulson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Louise Paulson Googins's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 1, 1998 - Present
GOOGINS ADVISORS, INC
Office #1: 6417 University Avenue, Middleton, WI 53562RIA
CRD#: 13985
Middleton, WI
Past
August 11, 1983 - June 27, 2022
GOOGINS ADVISORS, INC
BD
CRD#: 13985
MIDDLETON, WI
Past
January 27, 1982 - October 4, 1983
CHARTER SECURITIES CORPORATION
BD
CRD#: 7062
Past
September 27, 1978 - December 10, 1982
FPC SECURITIES CORPORATION
BD
CRD#: 5970
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GA
GOOGINS ADVISORS, INC
GOOGINS & ANTON, INC. | GOOGINS ADVISORS, INC. | GOOGINS ADVISORS, INC | GOOGINS & CO., INC. | GOOGINS & BEST, INC. | GOOGINS & BAST, INC.
CRD#: 13985 / SEC#: 801-68432, 8-30116
RIA
Registered Investment Advisory firm - SEC (11/6/2007 Approved)Texas
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)BD
Terminated by SEC on 08/25/2022
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(6/11/2021)
IAR
Florida(11/15/2011)
IAR
Illinois(1/11/2021)
IAR
Louisiana(4/23/2021)
IAR
Minnesota(12/17/2017)
IAR
Nebraska(9/18/2020)
IAR
North Carolina(8/24/2021)
IAR
Texas(3/1/2010)
IAR
Washington(2/23/2021)
IAR
Wisconsin(9/1/1998)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/15/1978
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 7/21/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Current Firm
GA
GOOGINS ADVISORS, INC
GOOGINS & ANTON, INC. | GOOGINS ADVISORS, INC. | GOOGINS ADVISORS, INC | GOOGINS & CO., INC. | GOOGINS & BEST, INC. | GOOGINS & BAST, INC.
CRD#: 13985 / SEC#: 801-68432, 8-30116
RIA
Registered Investment Advisory firm - SEC (11/6/2007 Approved)Texas
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/20/2007 Terminated)BD
Terminated by SEC on 08/25/2022
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Contact information
Main Address
6417 University Avenue, Middleton, WI 53562
Mailing Address
Phone number
(608) 514-1044
Established
Wisconsin since 07/01/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
8
SEC notice filing (15 States and Territories)
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOOGINS, LOUISE PAULSON | PRESIDENT, TREASURER, CCO, FINANCIAL OPERATIONS MANAGER, CHIEF COMPLIANCE OFFICER | 857700 |
Regulatory assets under management
| Total Number of Accounts | 1,687 |
| AUM (Assets Under Management) | $ 501,043,111 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GOOGINS ADVISORS, INC
CRD#: 13985Middleton, WI 53562TRUST BUT VERIFY
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