Richard C. Evans
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 Chester Evans, who also goes by Dick Evans, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2010 - September 28, 2018
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
May 3, 2004 - September 28, 2018
NEWEDGE SECURITIES, LLC
April 30, 1997 - May 3, 2004
LONDON PACIFIC SECURITIES, INC.
May 20, 1982 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 20, 1982 - April 3, 1997
MONY SECURITIES CORPORATION
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
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
CRD#: 109771 / SEC#: 801-21527
Contact information
Red Flags
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