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RG

Richard F. Gornto

FIRST FINANCIAL SECURITIES OF AMERICA
Houston, TX 77060
Some features on this profile are disabled
CRD#: 841493
RG

Professional summary

Richard Francis Gornto is a registered financial professional currently at FIRST FINANCIAL SECURITIES OF AMERICA, INC. located in Houston, Texas.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1977. Richard has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 1 and Series 2 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Richard Francis Gornto'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

August 17, 2009 - Present

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

Office #1: 16945 Northchase Drive Ste. 1800, Houston, TX 77060
BD
CRD#: 13642
Houston, TX
Past

December 4, 2006 - June 5, 2009

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
HOUSTON, TX
Past

April 5, 2001 - October 24, 2006

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

January 8, 1997 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

August 29, 1988 - October 3, 2001

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

BD
CRD#: 13642
HOUSTON, TX
Past

April 6, 1987 - May 20, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

April 25, 1983 - December 24, 1986

INVESTMENT DEALERS INC.

BD
CRD#: 5777
Past

April 22, 1981 - March 24, 1983

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

June 5, 1978 - September 30, 1985

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

August 16, 1977 - March 22, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
NEW YORK, NY

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
Texas
(11/3/2009)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/22/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/6/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 8/12/1977
Registered Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 1/4/1974
Non-Member General Securities Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
FIRST FINANCIAL SECURITIES OF AMERICA, INC. | TAX SHELTERED INVESTMENTS EQUITIES CORPORATION | SOUTHWEST GENERAL SECURITIES CORPORATION

CRD#: 13642 / SEC#: , 8-29565

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

Main Address
16945 Northchase Drive Suite 1800, Houston, TX 77060
Mailing Address
Po Box 670329, Houston, TX 77267-0329
Phone number
(281) 847-8422
Established
Texas since 12/04/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
70

FINRA licenses (28 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
AMERICAN FIDELITY ASSURANCE COMPANYSHAREHOLDER
BLUTT, PAUL MATHIASCHIEF FINANCIAL OFFICER/FINOP7912579
KEELING, COURTNEY DANAECHIEF COMPLIANCE OFFICER7675059
PRUITT, SHERRIE RENEVICE PRESIDENT2691254
SCHNAUTZ, DAWSON LOUISPRESIDENT, DIRECTOR, PRINCIPAL2159228

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.

Company Information

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

CRD#: 13642Houston, TX 77060

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