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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

RICHARD L GOING

Advisor at GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

RED BANK, NJ

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Search this name across graphsid dfx:ria:1a161575-6876-dec9-c00f-1e82ce217e77

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 11, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 8, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Sep 8, 2001
First registration: Jun 11, 2002
Dual registered: yes, broker-dealer
Other names: RICHARD GOING
IAPD individual key: 4416135

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC	Independent wealth	May 7, 2014	n/a	yes	RED BANK, NJ	Current employment
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Apr 13, 2012	Jul 27, 2012	no	KING OF PRUSSIA, PA\|MONMOUTH BEACH, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 19, 2012	no	RED BANK, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 23, 2007	Jun 1, 2009	no	SHREWSBURY, NJ\|RED BANK, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 15, 2004	Feb 27, 2007	no	RED BANK, NJ\|RED BANK, NJ	Previous registration
MORGAN STANLEY DW INC.	n/a	Jun 11, 2002	Mar 15, 2004	no	RED BANK, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA ADVISOR NETWORKS LLC	GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC	Jul 27, 2012	May 7, 2014	649	Firm change after gap	Other
MORGAN STANLEY	CETERA ADVISOR NETWORKS LLC	Apr 19, 2012	Apr 13, 2012	-6	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 27, 2007	Feb 23, 2007	-4	Firm change	Other
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 15, 2004	Mar 15, 2004	0	Firm change	Other

Relationships

Registered with (6)

→ GARDEN STATE INVESTMENT ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
May 7, 2014 to presentfactForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Apr 13, 2012 to Jul 27, 2012factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Apr 19, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 23, 2007 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 15, 2004 to Feb 27, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jun 11, 2002 to Mar 15, 2004factForm ADV

Dated events

No dated event names this entity yet.