Richard A. Seefried
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 Albert Seefried, who also goes by Rick Seefried, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
August 22, 2013 - August 24, 2017
SPENCER EDWARDS, INC.
January 5, 2007 - August 13, 2013
GVC CAPITAL LLC
October 1, 2002 - December 31, 2006
PAULSON INVESTMENT COMPANY LLC
September 30, 2002 - October 8, 2002
J.P. TURNER & COMPANY, L.L.C.
January 25, 2001 - September 30, 2002
SCHNEIDER SECURITIES, INC.
February 2, 1991 - January 22, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
September 27, 1984 - February 5, 1991
RCL NORTHWEST, INC.
August 24, 1982 - September 24, 1984
MORGAN STANLEY DW INC.
August 10, 1982 - June 16, 1983
DILLON SECURITIES, 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
Current Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
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