Rits B. Geoghegan
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.
Rits Burleson Geoghegan was a registered financial professional .
Rits is a previously registered financial professional and started their career in finance in 1973. Rits had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2018 - August 23, 2021
NATIONS FINANCIAL GROUP, INC.
October 19, 2018 - August 23, 2021
NATIONS FINANCIAL GROUP, INC.
July 7, 2015 - November 1, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 7, 2015 - November 1, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 9, 2011 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
December 9, 2011 - July 7, 2015
STERNE, AGEE & LEACH, INC.
November 2, 2005 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
November 1, 2005 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
October 5, 1998 - November 4, 2005
MORGAN STANLEY DW INC.
January 17, 1992 - November 4, 2005
MORGAN STANLEY DW INC.
October 5, 1990 - January 27, 1992
DERAND/PENNINGTON/BASS, INC.
November 14, 1989 - October 17, 1990
MERIDIAN, DUNHILL & CO., INC.
July 30, 1987 - November 16, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 1, 1973 - August 14, 1987
DERAND/PENNINGTON/BASS, INC.
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 5/29/1973
Registered Representative ExaminationCurrent Firm
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
