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Richard David Turi

CRD# 1043814·Registered 1989 - 2012
Previously Registered: Being a previously registered professional could mean that Richard 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.

Professional Summary

Richard David Turi, who also goes by Richard David Tury, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1989 - 2012. Richard had worked at 9 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Richard David Tury

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

NMS CAPITAL SECURITIES, LLC·CRD# 107401
BD
Beverly Hills, CA
May 3, 2012 - September 28, 2012
NETWORK 1 FINANCIAL SECURITIES INC.·CRD# 13577
BD
Red Bank, NJ
October 5, 2006 - May 5, 2010
WORLD INVESTMENTS, LLC·CRD# 20626
BD
Lincroft, NJ
August 13, 2002 - September 20, 2004
FIRST SUMMIT SECURITIES, INC.·CRD# 39033
BD
Stroudsburg, PA
December 5, 1995 - March 3, 2000
CHURCHILL SECURITIES, INC.·CRD# 10343
BD
Suffern, NY
February 4, 1994 - April 3, 1995
FIRST MADISON SECURITIES, INC.·CRD# 14288
BD
Montville, NJ
March 18, 1993 - March 3, 1994
METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095
BD
New York, NY
June 29, 1989 - January 6, 1993
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Springfield, MA
June 29, 1989 - January 6, 1993
ALL-TECH DIRECT, INC.·CRD# 13992
BD
March 21, 1989 - May 10, 1989

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Current Firm

NC
NMS CAPITAL SECURITIES, LLC

MCA SECURITIES LLC | NMS CAPITAL SECURITIES, LLC

CRD#: 107401 / SEC#: 8-53037
BD
Terminated by SEC on 12/06/2015

Contact Information

Established

Illinois since 10/31/2000

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BURKE, CHRISTOPHER JOHNNON-INVOLVED OWNER1149870
WIK, MICHAEL DAVIDNON-INVOLVED OWNER1859149
NMS CAPITAL GROUP, LLCOWNER—
DOOLEY, BRADFORD RCFO4308078
LAVENDER, STACEY LYNNCHIEF COMPLIANCE OFFICER4365033
SALIBA, TREVOR MICHAELCEO2692057

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2007About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 1998About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 1995About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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