Robert J. Gorgia
Professional summary
Robert James Gorgia was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Robert had worked at 19 firms, which includes W.A. CAPITAL MARKETS, CITATION FINANCIAL GROUP L.P., APA SECURITIES LLC, MCFADDEN FARRELL & SMITH L.P., LEEB BROKERAGE SERVICES INC., ANDREW ALEXANDER WISE & COMPANY INCORPORATED, FIS BROKERAGE & SECURITIES SERVICES LLC, RUMSON CAPITAL LLC, BURLINGTON CAPITAL MARKETS INC., APOGEAN CAPITAL INC., G.M.R. & CO SECURITIES LLC, M.W. MARSHALL SECURITIES L.L.C, TRADITION SECURITIES AND DERIVATIVES LLC, BGC FINANCIAL L.P., BCMG SECURITIES LLC, PREBON FINANCIAL PRODUCTS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FINANCIAL SQUARE PARTNERS, TP ICAP GLOBAL MARKETS AMERICAS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2013 - February 6, 2014
W.A. CAPITAL MARKETS
October 8, 2009 - May 16, 2011
CITATION FINANCIAL GROUP, L.P.
July 24, 2007 - August 3, 2007
APA SECURITIES, LLC
July 17, 2006 - May 16, 2011
W.A. CAPITAL MARKETS
March 10, 2005 - March 20, 2007
MCFADDEN, FARRELL & SMITH, L.P.
January 28, 2005 - July 14, 2006
LEEB BROKERAGE SERVICES, INC.
April 3, 2003 - July 12, 2005
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
March 3, 2003 - April 23, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
May 14, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
June 11, 2001 - April 17, 2002
BURLINGTON CAPITAL MARKETS INC.
July 12, 2000 - October 23, 2000
APOGEAN CAPITAL INC.
January 19, 2000 - May 31, 2001
G.M.R. & CO SECURITIES, LLC
May 12, 1998 - January 19, 1999
M.W. MARSHALL SECURITIES, L.L.C
May 16, 1997 - March 15, 1998
TRADITION SECURITIES AND DERIVATIVES LLC
June 20, 1995 - April 21, 1997
BGC FINANCIAL, L.P.
October 24, 1994 - June 19, 1995
BCMG SECURITIES, LLC
April 23, 1992 - September 8, 1994
PREBON FINANCIAL PRODUCTS INC.
November 22, 1989 - December 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 1989 - November 21, 1989
FINANCIAL SQUARE PARTNERS
January 21, 1987 - February 4, 1989
TP ICAP GLOBAL MARKETS AMERICAS LLC
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
Series 55
Date: 1/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
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