Chief Compliance Officer
Sonia Goforth ADV2(b) Brochure
My career of over twenty-five years in the financial services industry has been dedicated to helping clients pursue their financial goals and assisting financial advisors with business growth and development. I’m committed to making sure business is done in the best interest of the clients and to the most ethical of standards.
I believe investment success is not simply a rate of return. It is the ability to pursue the goals and dreams everyone has for their life no matter how big or small. Accomplishing this should always be through a dedicated effort between the client and their advisor and should always put the client’s interests first.
Series 07,09,10,and 63 held with LPL Financial
Series 65 license held with KPP Advisory Services
Registered for Securities in the following states:
AK, AL, CA, CO, DC, DE, FL, GA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, NY, OH, OK, PA, SC, TN, TX, UT, VA, VT, WI.
Registered as IAR in the following states: KY
Associates Degree Paralegal Studies – Sullivan University
Branch Administrator with Wells Fargo Advisors – New Albany, IN 2009-2015
Branch Administrative Assistant with Wells Fargo Advisors/Wachovia Securities – Lexington, KY 2003-2009
Financial Advisor with Wachovia Securities/Prudential Securities – Lexington, KY 1999-2003
Client Service Assistant with Prudential Securities – Lexington, KY 1995-1999
Executive Committee Member Women Leading Kentucky 2014 – Present
Sponsorship Associate Director Keeneland Concourse d’Elegance, Lexington, KY 2015-Present
Habitat for Humanity volunteer
Published Author & Owner Pendem Publications
I enjoy spending time with family, friends, my six dogs, as well as working on my current novel.