Richard C. Gounaud
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Charles Gounaud was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2000 - December 4, 2000
FINANCIAL CONSULTANT GROUP, LLC
May 11, 1990 - June 23, 2000
THE INVESTMENT CENTER, INC.
June 15, 1987 - May 17, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 1984 - May 8, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
April 26, 1983 - June 19, 1984
CITIGROUP GLOBAL MARKETS INC.
October 31, 1981 - April 21, 1983
GIBRALTAR SECURITIES CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FINANCIAL CONSULTANT GROUP, LLC
CRD#: 25644 / SEC#: , 8-41938
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COOK, CHRISTOPHER JOSEPH | PRESIDENT, SECTY,TREAS,FINOP,,MSP,GSP,CHIEF COMPLIANCE OFFICER | 2800929 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
