Richard J. Gobel
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2007 - September 7, 2011
WALL STREET FINANCIAL GROUP, INC.
July 28, 2004 - January 24, 2007
ALLEGHENY INVESTMENTS, LTD.
January 31, 2001 - July 23, 2004
BLUE VASE SECURITIES, LLC
June 24, 1993 - February 1, 2001
ALLEGHENY INVESTMENTS, LTD.
May 25, 1989 - June 28, 1993
INVESTACORP, INC.
April 29, 1988 - June 7, 1989
FSC SECURITIES CORPORATION
August 23, 1983 - May 10, 1988
PARKER/HUNTER INCORPORATED
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
WALL STREET FINANCIAL GROUP, INC.
CRD#: 35830 / SEC#: 801-58292, 8-46964
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
