Richard L. Pickering
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 Lee Pickering, who also goes by Pick Pick, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - April 28, 2023
CAPITAL ADVISOR NETWORK
June 13, 2016 - October 28, 2019
CENTER STREET ADVISORS, INC.
October 3, 2013 - June 13, 2016
BROOKSTONE CAPITAL MANAGEMENT LLC
December 6, 2005 - September 24, 2013
ON INVESTMENT MANAGEMENT CO
March 5, 2001 - September 24, 2013
THE O.N. EQUITY SALES COMPANY
June 21, 1982 - March 2, 2001
AMERICAN GENERAL EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
CAPITAL ADVISOR NETWORK
CRD#: 297578 / SEC#: 801-123345
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
Current Firm
CAPITAL ADVISOR NETWORK
CRD#: 297578 / SEC#: 801-123345
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,153 |
| AUM (Assets Under Management) | $ 99,497,162 |
Red Flags
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