Richard A. Stock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Alan Stock, who also goes by Dick Stock, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 9 firms and has passed the Series 63, Series 7, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 1996 - April 24, 1999
BAXTER BANKS & SMITH, LTD.
October 18, 1994 - March 21, 1996
TITAN/VALUE EQUITIES GROUP, INC.
May 3, 1994 - September 9, 1994
BARNETT INVESTMENTS, INC.
July 6, 1992 - May 4, 1994
COMMONWEALTH FINANCIAL NETWORK
May 15, 1990 - July 6, 1992
KAVANAUGH SECURITIES, INC.
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - May 18, 1990
OSAIC WEALTH, INC.
April 14, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 16, 1986 - May 8, 1987
SECURITY SERVICE CORPORATION
November 27, 1981 - April 2, 1986
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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