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RIA / WealthAdvisorCertified Financial Planner21 years in industry

JOSEPH VINCENT GOLDY

Advisor at HIGHLAND FINANCIAL ADVISORS, LLC

WAYNE, NJ

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Search this name across graphsid dfx:ria:6c4cdef9-7234-da44-49b6-8e72f5a0d37b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 30, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HIGHLAND FINANCIAL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 27, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: May 27, 2005
First registration: May 30, 2005
Dual registered: no
IAPD individual key: 4936121

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HIGHLAND FINANCIAL ADVISORS, LLC	Independent wealth	Jul 11, 2022	n/a	yes	WAYNE, NJ	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Apr 28, 2020	no	WAYNE, NJ	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Apr 28, 2020	no	OMAHA, NE\|Wayne, NJ	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Jun 7, 2016	Feb 26, 2018	no	SAINT LOUIS, MO	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	May 30, 2005	Mar 14, 2006	no	MORRISTOWN, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Apr 28, 2020	Feb 27, 2018	-791	Bulk transfer	Other
TD AMERITRADE, INC.	HIGHLAND FINANCIAL ADVISORS, LLC	Apr 28, 2020	Jul 11, 2022	804	Firm change after gap	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA
A. G. EDWARDS & SONS, INC.	SCOTTRADE INVESTMENT MANAGEMENT	Mar 14, 2006	Jun 7, 2016	3,738	Firm change after gap	Other

Relationships

Registered with (5)

→ HIGHLAND FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Jul 11, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Apr 28, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Apr 28, 2020factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jun 7, 2016 to Feb 26, 2018factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
May 30, 2005 to Mar 14, 2006factForm ADV

Dated events

No dated event names this entity yet.