Richard J. Gopin
MADISON AVENUE SECURITIES
Oak Ridge, NJ 07438
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CRD#: 2027499
Professional summary
Richard Jay Gopin, CFP®, who also goes by Richard J Gopin, Richard Gopin, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Oak Ridge, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard J Gopin | Richard Gopin
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) - RIA
Click below to view Richard Jay Gopin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Jay Gopin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1990
Experience
Current
March 25, 2009 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 5676 Berkshire Valley Road Suite 1, Oak Ridge, NJ 07438RIA
BD
CRD#: 23224
Oak Ridge, NJ
Current
December 19, 2005 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 5676 Berkshire Valley Road Suite 1, Oak Ridge, NJ 07438RIA
BD
CRD#: 23224
Oak Ridge, NJ
Past
January 3, 2007 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
OAK RIDGE, NJ
Past
January 2, 2003 - December 2, 2005
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
August 14, 1997 - December 31, 2002
WISE PLANNING CORP.
BD
CRD#: 899
HICKSVILLE, NY
Past
February 26, 1997 - July 16, 1997
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
March 29, 1990 - January 31, 1997
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 29, 1990 - January 31, 1997
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/24/2013)
RR
California(12/15/2009)
RR
Connecticut(1/17/2008)
RR
Delaware(12/14/2015)
RR
Florida(12/15/2011)
RR
Georgia(3/19/2007)
RR
Hawaii(4/1/2013)
RR
Kentucky(1/4/2016)
RR
Massachusetts(3/27/2013)
RR
Missouri(3/7/2022)
RR
Nebraska(4/27/2011)
RR
New Jersey(1/17/2006)
IAR
New Jersey(3/25/2009)
RR
New Mexico(10/11/2017)
RR
New York(1/18/2006)
RR
North Carolina(8/12/2014)
RR
Oregon(3/9/2024)
RR
Pennsylvania(3/7/2006)
RR
South Carolina(11/17/2011)
RR
South Dakota(2/7/2022)
RR
Virginia(9/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MANAGER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
