Richard G. Bryan
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 Gardner Bryan, who also goes by Richard Gardner Bryan Jr, Richard Gardner Jr Bryan, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 13 firms and has passed the Series 63, Series 7, Series 8 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
October 11, 1995 - January 28, 2014
CHARLES SCHWAB & CO., INC.
January 12, 1995 - September 12, 1995
SPENCER EDWARDS, INC.
October 7, 1994 - January 17, 1995
INTERFIRST CAPITAL CORPORATION
July 16, 1993 - October 7, 1994
TAMARON INVESTMENTS, INC.
January 2, 1992 - July 16, 1993
NTB FINANCIAL CORPORATION
January 3, 1991 - January 7, 1992
PRIVATE INVESTORS CARTEL, LTD.
June 1, 1989 - January 2, 1991
RICHFIELD SECURITIES, INC.
November 11, 1986 - May 25, 1989
MARSHALL DAVIS, INC.
January 9, 1986 - November 25, 1986
POWER SECURITIES CORPORATION
July 15, 1985 - January 1, 1986
FIRST EASTERN SECURITIES CORPORATION
December 5, 1984 - May 28, 1985
J. W. GANT & ASSOCIATES, INC.
March 29, 1984 - February 15, 1985
CHESLEY AND DUNN, INC.
October 19, 1983 - February 27, 1984
AMERICAN FRONTEER FINANCIAL CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 8
Date: 4/2/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
Red Flags
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.
