Richard L. Going

GARDEN STATE INVESTMENT ADVISORY SERVICES

RED BANK, NJ 07701

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CRD#: 4416135

Professional summary

Richard L Going II, who also goes by Richard Going II, is a registered financial advisor currently at GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC located in Red Bank, New Jersey and GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Aliases

Richard Going Ii

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) - RIA

Click below to view Richard L Going II'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

October 1, 2012 - Present

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

Office #1: 328 Newman Springs Road, Red Bank, NJ 07701

RIA

CRD#: 133088

RED BANK, NJ

Current

September 20, 2012 - Present

GARDEN STATE SECURITIES, INC.

Office #1: 328 Newman Springs Road, Red Bank, NJ 07701

CRD#: 10083

RED BANK, NJ

Past

April 13, 2012 - July 27, 2012

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MONMOUTH BEACH, NJ

Past

April 13, 2012 - July 27, 2012

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MONMOUTH BEACH, NJ

Past

June 1, 2009 - April 19, 2012

MORGAN STANLEY

RIA

CRD#: 149777

RED BANK, NJ

Past

June 1, 2009 - April 19, 2012

MORGAN STANLEY

CRD#: 149777

RED BANK, NJ

Past

February 23, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

RED BANK, NJ

Past

February 23, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

RED BANK, NJ

Past

March 15, 2004 - February 27, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RED BANK, NJ

Past

March 15, 2004 - February 27, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RED BANK, NJ

Past

June 11, 2002 - March 15, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RED BANK, NJ

Past

August 17, 2001 - March 15, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

CRD#: 133088 / SEC#: 801-79500

RIA

Registered Investment Advisory firm - (4/23/2014 Approved)

Idaho

Registered Investment Advisory firm - (4/25/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (5/1/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(10/25/2012)

IAR

California
(4/29/2014)

Delaware
(10/24/2012)

IAR

Delaware
(5/7/2014)

Florida
(11/30/2012)

IAR

New Jersey
(10/1/2012)

New Jersey
(10/23/2012)

New York
(10/24/2012)

Oregon
(8/28/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/2/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/16/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

CRD#: 133088 / SEC#: 801-79500

RIA

Registered Investment Advisory firm - (4/23/2014 Approved)

Idaho

Registered Investment Advisory firm - (4/25/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (5/1/2014 Terminated)

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Contact information

Main Address

328 Newman Springs Road, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 280-6886

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GSIAS FORM ADV PART 2A BROCHURE DATED MARCH 31 2025 (3/31/2025)

GSIAS WRAP BROCHURE DATED MARCH 31 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,122
AUM (Assets Under Management)	$ 561,548,738

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.

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Advisor Monitoring

Firm Stability Insights

Richard L. Going

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard L Going II's CRS (Customer Relationship Summary).

Certified licenses

Experience

GARDEN STATE SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2001

SIE

Date: 10/1/2018

Series 31

Date: 10/2/2001

Series 7

Date: 8/16/2001

FINRA

Current Firm

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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