Richard C. Badger
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 Christian Badger, who also goes by Ric Badger, Rick Badger, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
January 17, 2017 - June 21, 2018
NATALLIANCE SECURITIES, LLC
September 14, 2016 - August 22, 2018
NATALLIANCE SECURITIES, LLC
February 10, 2015 - July 21, 2016
MEDALLION INVESTMENT SOLUTIONS
March 6, 2014 - December 31, 2014
MEDALLION INVESTMENT SOLUTIONS
May 1, 2013 - July 8, 2016
B. RILEY WEALTH MANAGEMENT
May 1, 2013 - July 8, 2016
B. RILEY WEALTH MANAGEMENT
May 3, 2007 - May 2, 2013
SANDERS MORRIS LLC
November 7, 2002 - February 22, 2010
SMH CAPITAL ADVISORS LLC
April 4, 2002 - May 2, 2013
SANDERS MORRIS LLC
July 7, 2000 - November 29, 2001
SANDERS MORRIS LLC
December 5, 1995 - July 6, 2000
SPIRES FINANCIAL, L.P.
November 30, 1994 - December 1, 1995
WELLS FARGO CLEARING SERVICES, LLC
May 20, 1989 - August 24, 1994
WESTCAP GOVERNMENT SECURITIES, INC.
May 20, 1989 - December 6, 1994
WESTCAP SECURITIES, L.P.
October 24, 1988 - May 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
July 25, 1987 - October 18, 1988
WESTCAP GOVERNMENT SECURITIES, INC.
March 22, 1983 - October 18, 1988
WESTCAP SECURITIES, L.P.
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
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
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.
