Richard B. Gong
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 Bae Gong, who also goes by Bae Gong, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2011. Richard had worked at 2 firms and has passed the Series 63 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2013 - August 29, 2014
TAP SECURITIES LLC
December 13, 2011 - May 30, 2013
SANDLER, O'NEILL & PARTNERS, L.P.
State Registrations and Notice Filings
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Exams
Current Firm
TAP SECURITIES LLC
CRD#: 151593 / SEC#: , 8-68381
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
