Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Goglia is a financial professional with over 20 years of experience in the industry. Richard is currently registered with Stonex Advisors Inc. and is based in New Orleans, Louisiana. Prior to joining Stonex Advisors Inc., Richard was a registered representative with WRP INVESTMENTS, INC., Park Avenue Securities LLC, and AXA Advisors, LLC. Richard holds a variety of licenses and certifications including Series 6, 7, 24, 63, and 65 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Financial consulting services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
LA
01/30/2015 - Present
Stonex Advisors Inc. (New Orleans LA)
CT
11/02/2005 - 09/12/2014
WRP INVESTMENTS, INC. (FAIRFIELD CT)
NY
11/27/2001 - 11/04/2005
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NY
04/26/1996 - 11/19/2001
AXA ADVISORS, LLC (NEW YORK NY)
NY
04/26/1996 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 09/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/09/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/1999
Series 7 - General Securities Representative Examination
BC
Issued 04/25/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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