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Detailed Report
THOMAS RICHARD GOODE
CRD#: 705089
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Bluffton, SC
Registration History
19801985199019952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1980 - 1988 (8 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
License(s)

State Registrations

B
Arizona 6/1/2009
B
New York 8/13/2021
B
California 6/1/2009
B
North Carolina 1/8/2021
IA
California 6/1/2009
B
Oregon 11/11/2014
B
Hawaii 2/6/2015
B
Pennsylvania 12/9/2020
B
Idaho 6/1/2009
B
South Carolina 12/9/2020
B
Indiana 2/4/2021
IA
South Carolina 3/15/2021
B
Michigan 2/11/2021
B
South Dakota 1/9/2025
B
Nevada 6/1/2009
B
Texas 4/6/2021
IA
Nevada 6/1/2009
IA
Texas 4/13/2021
B
New Hampshire 12/20/2024
B
Washington 1/16/2015

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
Bluffton, SC
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Bluffton, SC
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 07/08/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FOLSOM, CA
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FOLSOM, CA
B
 02/15/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 02/04/1980 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.