Richard H. Garrick
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 Henry Garrick, who also goes by Richard Andrew Garrick, Richard Garrick, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1987 - August 24, 1987
TREVOR, COLE, REID, & MONROE, INC.
January 28, 1987 - February 7, 1987
EXETER SECURITIES CORPORATION
January 15, 1987 - April 24, 1987
LINSCO FINANCIAL GROUP, INC.
July 11, 1985 - January 15, 1987
RADFORD CAPITAL CORPORATION
May 17, 1984 - March 6, 1985
FSC SECURITIES CORPORATION
September 22, 1983 - February 27, 1984
NORTHFIELD INVESTMENTS INC.
November 24, 1982 - September 13, 1983
PHILIPS, APPEL & WALDEN, 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
TREVOR, COLE, REID, & MONROE, INC.
CRD#: 11065 / SEC#: , 8-27543
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
