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RICHARD JOSEPH MCGOWAN JR.
CRD#: 5132268
IA
B
FIFTH THIRD SECURITIES, INC.CRD#: 628 523 WEST MAIN STREET
ZEELAND, MI 49464
ZEELAND, MI 49464
0
Disclosures
18
Years of Experience
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State Registrations
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Arizona 3/25/2020
B
Minnesota 8/17/2021
B
California 11/20/2020
B
Missouri 9/27/2021
B
Colorado 8/9/2022
B
Nevada 11/17/2022
B
Delaware 5/19/2022
B
New York 2/10/2021
B
Florida 1/22/2016
B
North Carolina 2/28/2019
B
Illinois 12/2/2020
B
South Carolina 11/21/2017
B
Indiana 1/2/2024
B
Texas 11/20/2020
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Indiana 10/10/2024
B
Virginia 5/24/2019
B
Michigan 2/9/2016
B
Washington 1/5/2018
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Michigan 2/9/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 2/9/2016
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Registered with this firm since 1/21/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/22/2013 - 01/19/2016 | PORTAGE, MI | |
B | 05/11/2012 - 01/19/2016 | PORTAGE, MI | |
B | 08/14/2006 - 05/03/2012 | KALAMAZOO, MI |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.