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RICHARD JOHN GOGLIA
RICHARD J GOGLIA
CRD#: 2736021
IA
Investment Adviser
B
Broker
STONEX ADVISORS INC.CRD#: 174182 New Orleans, LA
STONEX SECURITIES INC.CRD#: 18456 New Orleans, LA
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2005 (4 years)IASTONEX ADVISORS INC. (CRD# 174182)2015 - Present (10 years)BSTONEX SECURITIES INC. (CRD# 18456)2014 - Present (10 years)BWRP INVESTMENTS, INC. (CRD# 7365)2005 - 2014 (8 years)BAXA ADVISORS, LLC (CRD# 6627)1996 - 2001 (5 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1996 - 2000 (3 years)IASTERNE AGEE INVESTMENT ADVISOR... (CRD# 7365)2005 - 2015 (9 years)
License(s)

State Registrations

B
Alabama 4/4/2018

B
New Hampshire 8/10/2015

B
California 9/12/2014

B
New York 9/12/2014

B
Connecticut 9/12/2014

B
North Carolina 9/12/2014

B
Florida 9/12/2014

B
Ohio 9/12/2014

B
Illinois 9/12/2014

B
Pennsylvania 9/12/2014

B
Indiana 9/12/2014

B
South Carolina 9/12/2014

B
Louisiana 9/12/2014

B
Tennessee 9/12/2014

IA
Louisiana 1/30/2015

B
Texas 2/14/2024

B
Maryland 9/12/2014

B
Vermont 9/12/2014

B
Massachusetts 9/12/2014

B
Virginia 9/12/2014

B
Nebraska 9/12/2014

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STONEX ADVISORS INC. (CRD#:174182)
New Orleans, LA
Registered with this firm since 1/30/2015

B
STONEX SECURITIES INC. (CRD#:18456)
New Orleans, LA
Registered with this firm since 9/12/2014

Previous Registration(s)
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IA
11/02/2005 - 01/30/2015 STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. (CRD#:7365) FAIRFIELD, CT
B
11/02/2005 - 09/12/2014 WRP INVESTMENTS, INC. (CRD#:7365) FAIRFIELD, CT
IA
11/27/2001 - 11/04/2005 PARK AVENUE SECURITIES LLC (CRD#:46173) FAIRFIELD, CT
B
11/27/2001 - 11/04/2005 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
B
04/26/1996 - 11/19/2001 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
04/26/1996 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.