Richard M. Gockelman
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 Michael Gockelman, who also goes by Richard M Gockelman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 8 firms and has passed the Series 63, Series 65, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2013 - March 5, 2015
INTERACTIVE ADVISERS, INTERACTIVE ADVISORS
November 30, 2011 - March 25, 2013
RIDGEWOOD SECURITIES CORPORATION
August 8, 2008 - February 4, 2010
COMMONWEALTH FINANCIAL NETWORK
August 19, 2005 - September 12, 2008
PLACEMARK INVESTMENTS, INC.
May 18, 2000 - July 8, 2005
MFS FUND DISTRIBUTORS, INC.
June 25, 1998 - February 19, 1999
CHARLES SCHWAB & CO., INC.
October 31, 1996 - June 24, 1998
DEAM INVESTOR SERVICES, INC.
August 15, 1995 - October 18, 1996
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
INTERACTIVE ADVISERS, INTERACTIVE ADVISORS
CRD#: 145694 / SEC#: 801-69224
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
INTERACTIVE ADVISERS, INTERACTIVE ADVISORS
CRD#: 145694 / SEC#: 801-69224
Contact information
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,716 |
| AUM (Assets Under Management) | $ 168,480,731 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/10/2025 | ||
| 12/15/2023 | ||
| 06/22/2023 | ||
| 12/21/2022 |
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.
