RG

Richard J. Gobel

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CRD#: 1161317
RG

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 Joseph Gobel, who also goes by Rick Gobel, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Rick Gobel

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

January 22, 2007 - September 7, 2011

WALL STREET FINANCIAL GROUP, INC.

BD
CRD#: 35830
MCKEESPORT, PA
Past

July 28, 2004 - January 24, 2007

ALLEGHENY INVESTMENTS, LTD.

BD
CRD#: 7597
PITTSBURGH, PA
Past

January 31, 2001 - July 23, 2004

BLUE VASE SECURITIES, LLC

BD
CRD#: 46765
WASHINGTON, PA
Past

June 24, 1993 - February 1, 2001

ALLEGHENY INVESTMENTS, LTD.

BD
CRD#: 7597
PITTSBURGH, PA
Past

May 25, 1989 - June 28, 1993

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

April 29, 1988 - June 7, 1989

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

August 23, 1983 - May 10, 1988

PARKER/HUNTER INCORPORATED

BD
CRD#: 7324
PITTSBURGH, PA

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
IAR
Series 65
Date: 12/31/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam

Current Firm


WS
WALL STREET FINANCIAL GROUP, INC.
WALL STREET FINANCIAL GROUP, INC | WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830 / SEC#: 801-58292, 8-46964

BD
Terminated by SEC on 02/04/2017
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Contact information


Main Address
580 Fishers Station Drive, Victor, NY 14564
Mailing Address
Phone number
Established
New York since 04/08/1992
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents


Part 2 Brochures

Direct owners and executive officers


NamePositionCRD#
ANDERSON, DALE ROBERTVICE PRESIDENT1378651
BACHFINK, VICTORIA IRENEPRESIDENT/CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER2653237
BACHFINK, VICTORIA IRENECHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER2653237

Disclosures


Regulatory Event2
Arbitration1

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.

Company Information


WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

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