Garden City, New York financial advisor (CRD# 5225102) has received multiple investor complaints alleging that his investment recommendations led to...Read More
Bill Godfrey: Why Did Thrivent Fire Tampa Advisor?
OneAmerica Securities financial advisor Bill Godfrey (CRD# 2447660) recently received an investor complaint alleging he engaged in misconduct. Financial Industry Regulatory Authority records show that the Tampa-based broker and investment advisor was also fired by one of his former employers, Thrivent Investment Management.
Mr. Godfrey’s BrokerCheck report discloses one investor complaint. Filed in February 2022, it details concerns regarding “the amount of surrender charges incurred” in a variable annuity transfer while he was a representative of Thrivent Investment Management. In March 2022 the complaint reached a settlement of $15,298.93.
A second disclosure on Mr. Godfrey’s BrokerCheck report concerns his termination from Thrivent Investment Management. According to the disclosure, he was terminated in December 2021 “as a result of submitting variable annuity applications with materially inaccurate information on exchange disclosure form(s).”
According to the Financial Industry Regulatory Authority, Bill Godfrey holds 27 years of securities industry experience. Based in Tampa, Florida, he has been a broker and an investment advisor with OneAmerica Securities since June and July 2022, respectively. His past registrations include Thrivent Investment Management (Clearwater, Florida; 2021-2022), Equitable Advisors (Tampa, Florida; 2018-2021), Ameritas Investment Corporation (Clearwater, Florida; 2000-2018), Public Employees Equities Services Company (Palm Beach Gardens, Florida; 1999-2000), American General Financial Advisors (Houston, Texas; 1999-2000), Ameritas Investment Corporation (Lincoln, Nebraska; 1999-2000), Fahnestock & Company (New York, New York; 1995-1998), John Hancock Distributors (Boston, Massachusetts; 1994), and John Hancock Mutual Life Insurance Company (Boston, Massachusetts; 1994). His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Florida. (Information current as of September 3, 2022.)
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