Richard R. Goetz
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 Raymond Goetz JR, who also goes by Richard Raymond Goetz, Rick Goetz Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 13 firms and has passed the Series 66, Series 63, SIE 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
April 21, 2014 - June 30, 2016
INVESTMENTS FOR YOU, INC.
August 8, 2011 - February 8, 2013
BARRINGTON CAPITAL MANAGEMENT, INC.
July 18, 2011 - April 23, 2012
MB TRADING
December 1, 2006 - November 17, 2009
FIDELITY BROKERAGE SERVICES LLC
January 30, 2006 - November 1, 2006
CUNA BROKERAGE SERVICES, INC.
August 4, 2005 - November 1, 2006
CUNA BROKERAGE SERVICES, INC.
August 28, 2002 - December 18, 2003
LPL FINANCIAL LLC
October 5, 2001 - January 11, 2002
SAGE DISTRIBUTORS, INC.
July 5, 2000 - August 20, 2001
CITIGROUP GLOBAL MARKETS INC.
January 5, 2000 - May 26, 2000
FUNDS DISTRIBUTOR, LLC
February 15, 1996 - May 28, 1999
VOYA FINANCIAL ADVISORS, INC.
May 3, 1994 - January 19, 1996
WOODBURY FINANCIAL SERVICES, INC.
October 13, 1993 - February 2, 1994
U.S. BANCORP INVESTMENTS, INC.
May 23, 1989 - October 21, 1993
MORGAN STANLEY DW 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
INVESTMENTS FOR YOU, INC.
CRD#: 29257 / SEC#: , 8-44179
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BINGMAN, MAX CURTIS | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1079183 |
Disclosures
| Regulatory Event | 3 |
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.
