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HG

Harold L. Goetsch

B. RILEY SECURITIES
Greenbrae, CA 94904
Some features on this profile are disabled
CRD#: 2943764
HG

Professional summary

Harold Lee Goetsch, who also goes by Hal Goetsch, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Greenbrae, California.

Harold is registered as a RR (Registered Representative) and started their career in finance in 1998. Harold has worked at 3 firms and has passed the Series 63, Series 86, Series 87, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hal Goetsch

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harold Lee Goetsch's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 22, 2023 - Present

B. RILEY SECURITIES, INC.

Office #1: 100 Drakes Landing Suite 1-305, Greenbrae, CA 94904
BD
CRD#: 25027
Greenbrae, CA
Past

September 20, 2021 - March 29, 2023

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
Boston, MA
Past

September 25, 1998 - November 17, 2000

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Maine
(10/28/2025)
RR
Massachusetts
(3/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/1/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 10/12/2021
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/12/2021
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/20/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BR
B. RILEY SECURITIES, INC.
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Mailing Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Phone number
(310) 966-1444
Established
Delaware since 06/16/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
B. RILEY SECURITIES HOLDINGS, INC.DIRECT PARENT
BAKER, JAMES RICHARDCO-CHIEF EXECUTIVE OFFICER5834046
INNIS, KATHLEEN GIBBONSCHIEF COMPLIANCE OFFICER2112837
MCCOY, MICHAEL RICHARDCHIEF FINANCIAL OFFICER4743031
MOORE, ANDREW THOMASCO-CHIEF EXECUTIVE OFFICER4574997
SCHUTT, JANELLE REGINACONTROLLER2853858

Disclosures

Regulatory Event12
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

B. RILEY SECURITIES, INC.

CRD#: 25027Greenbrae, CA 94904

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