Robert D. Rickard
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.
Robert Dennis Rickard was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 5 firms and has passed the Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2001 - January 15, 2002
QA3 FINANCIAL CORP.
September 14, 1999 - August 28, 2001
SMITH HAYES FINANCIAL SERVICES CORPORATION
February 8, 1997 - September 17, 1999
GWR INVESTMENTS, INC.
June 27, 1996 - September 4, 1996
A. G. EDWARDS & SONS, INC.
June 8, 1982 - July 31, 1995
MORGAN STANLEY DW 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: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 11/2/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QA3 FINANCIAL CORP.
CRD#: 14754 / SEC#: , 8-31155
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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