Richard L. Goins
Professional summary
Richard Lewis Goins was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Richard had worked at 8 firms, which includes WAMU INVESTMENTS INC., BANK UNITED SECURITIES CORP., UBS FINANCIAL SERVICES INC., WELLS FARGO SECURITIES INC., FIRST INTERSTATE INVESTMENTSINC., INVESTACORP INC., MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2006 - October 12, 2007
WAMU INVESTMENTS, INC.
April 1, 2001 - October 12, 2007
WAMU INVESTMENTS, INC.
June 23, 1997 - April 1, 2001
BANK UNITED SECURITIES CORP.
November 21, 1996 - June 9, 1997
UBS FINANCIAL SERVICES INC.
August 19, 1996 - November 1, 1996
WELLS FARGO SECURITIES INC.
February 20, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
June 21, 1995 - February 27, 1996
INVESTACORP, INC.
August 27, 1993 - June 21, 1995
MORGAN STANLEY DW INC.
July 9, 1991 - September 8, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
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.
