Robert J. Gossett
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.
Robert Joe Gossett was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 8 firms and has passed the Series 63, Series 31 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 30, 2004 - September 30, 2009
THE O.N. EQUITY SALES COMPANY
March 31, 2003 - December 31, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 11, 2000 - March 11, 2013
GOSSETT & CROZIER FINANCIAL ADVISERS, INC.
June 17, 1996 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
March 26, 1991 - May 28, 1996
MORGAN STANLEY DW INC.
June 13, 1984 - April 8, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 25, 1984 - June 9, 1984
SWINK & COMPANY, INC.
November 22, 1983 - December 27, 1983
HERETH, ORR & JONES, INC.
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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
