Richard A. Gusic
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 Anthony Gusic, who also goes by Rick Gusic, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2010 - September 11, 2018
GLOBAL INVESTMENT ADVISORS, LLC
January 1, 2010 - October 20, 2015
ESSEX SECURITIES LLC
May 22, 2008 - January 1, 2010
INVESTORS CAPITAL CORP.
December 2, 1999 - January 1, 2010
INVESTORS CAPITAL CORP.
April 26, 1994 - December 1, 1999
ALLEGHENY INVESTMENTS, LTD.
June 23, 1992 - April 12, 1994
VERAVEST INVESTMENTS, 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
GLOBAL INVESTMENT ADVISORS, LLC
CRD#: 121442 / SEC#:
Contact information
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.
