Richard R. Goergen
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 Regis Goergen, who also goes by Rich Goergen, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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 2, 2018 - April 20, 2018
BB&T SECURITIES, LLC
January 2, 2018 - April 20, 2018
BB&T SECURITIES, LLC
May 9, 2016 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
May 3, 2016 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
September 14, 2005 - October 22, 2015
CHARLES SCHWAB & CO., INC.
August 30, 2005 - October 22, 2015
CHARLES SCHWAB & CO., INC.
July 9, 2004 - August 26, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2004 - August 26, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 2003 - December 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2002 - July 31, 2003
NYLIFE SECURITIES LLC
April 1, 1999 - September 14, 2001
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
BB&T SECURITIES, LLC
CRD#: 142785 / SEC#: 801-77145, 8-67486
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | SOLE MEMBER | |
| CRAM, BRYAN SCOTT | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 2723431 |
| HECHTLINGER, SUSAN | CHIEF COMPLIANCE OFFICER/ BOARD OF MANAGERS | 2890466 |
| MCCALLUM, CHARLES FALCONER III | HEAD OF SUPERVISION/BOARD OF MANAGERS | 2697260 |
| RIP, OLGA | PRINCIPAL FINANCIAL OFFICER | 5440553 |
| SPEETJENS, FELICIA ANN | HEAD OF PRODUCT/BOARD OF MANAGERS | 3197366 |
| TYSON, TONYA BELFIELD | PRINCIPAL OPERATIONS OFFICER | 1987448 |
Disclosures
| Regulatory Event | 49 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
