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Home > Financial Services > Stock Brokers > Googins & Co.
Googins & Co.
Googins & Co. is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Googins & Co., Inc. has a Business Continuity Plan (BCP) in place to prepare for the possibility of a future significant business disruption (SBD). A SBD may range in severity from a firm only disruption, such as a fire or a power outage, to a regional disruption, such as a natural disaster or a terrorist attack. Googins & Co., Inc. maintains a relationship with Saxony Securities as well as many mutual fund companies. The firm fully introduces your accounts to either Saxony Securities or the custodian of the mutual fund company. They, in turn, maintain your account and settle your transactions on your behalf. Googins & Co., Inc. gathers personal information only to complete applications and keep accurate records of your investments. This information is only available to the companies through which you have accounts and the securities regulators who routinely audit investment firms.
The firm follows a series of steps to focus your financial affairs. The initial meeting takes a bit longer as they probe into the complexities of your existing policies and accounts. Then they do a complete analysis. The firm prepares a financial plan that fits your lifestyle and works toward your goals, which may include college education for children, vacations and second homes, stress-free retirement, other.
The firm has Financial Planners like fee-only planners charge on the basis of service and time and have nothing to sell, commission-only planners offer their services for free but sell commission-producing products such as mutual funds, insurance products, limited partnerships, stocks and bonds, Fee-plus commission planners charge an up-front fee for consultation and their written plan, and then charge commissions on financial products they sell, Fee-offset planners charge fees again which they apply credits when they sell commission products.
Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. The company's goal is to have steady growth through working closely with their customers to help them succeed.
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