Richard A. Garver
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 Alvin Garver, who also goes by Rich Garver, 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 63, SIE, Series 7, Series 6 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
April 21, 1997 - January 13, 2015
CAMDEN FINANCIAL SERVICES
August 1, 1995 - April 24, 1997
LAGUNA SECURITIES, INC.
October 16, 1990 - August 1, 1995
WEALTH RESOURCE CAPITAL CORPORATION
March 10, 1988 - October 23, 1990
USA CAPITAL
March 5, 1986 - March 9, 1988
MUTUAL SERVICE CORPORATION
November 18, 1982 - March 5, 1986
PRUCO SECURITIES, LLC.
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
CAMDEN FINANCIAL SERVICES
CRD#: 19925 / SEC#: , 8-37303
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UCCIFERRI, LOUIE | PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, AML-CO | 1156956 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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