Richard John Goglia

Current Employers

Stonex Advisors Inc.

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2015-01-30

LA RA
APPROVED

Since 2015-01-30

Branch Locations

New Orleans, LA • United States

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Stonex Securities Inc	New Orleans	LA	09/2014	Present
Stonex Advisors Inc	New Orleans	LA	01/2015	Present

09/2014 → Present

Stonex Securities Inc

New Orleans, LA
01/2015 → Present

Stonex Advisors Inc

New Orleans, LA

Previous Registrations

2005-11-02 → 2015-01-30

Wrp Investments, Inc.

Windsor Locks, CT

Fairfield, CT

Youngstown, OH
2001-11-27 → 2005-11-04

Park Avenue Securities Llc

Fairfield, CT

Other Businesses

1)Richmond Financial 7800 Freret St, New Orleans, LA 70118, Securities thru SA Stone Wealth Mgmt/Independent Ins Sales Investment Related RR/IAR/Insurance Products 07/31/2012 160 hrs per month (Securities), 10 hrs (Insurance) 120 hrs during Market hrs (Securities), 0 (Insurance) 2)Richmond Financial LLC 7800 Freret Street New Orleans, LA 70118 Started Relationship: 11/13/2017 Title: Owner/Member Investment-Related Nature: Continuation of Richmond Financial (Current DBA) Duties: Financial Services Approx. 160 hours spent a month. All during Market Hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-30
S63	Uniform Securities Agent State Law Examination	1996-05-13

S65 Uniform Investment Adviser Law Examination

1999-09-30
S63 Uniform Securities Agent State Law Examination

1996-05-13

Designations

Other Names

Richard J Goglia

View on SEC IAPD