Richard Bruce Chess
Professional Summary
Richard Bruce Chess, who also goes by Rick Chess, is a registered financial advisor currently at CRESCENT SECURITIES GROUP, INC. located in Plano, Texas. Richard is registered as a RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 22, Series 7, Series 6 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Chess
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
CRESCENT SECURITIES GROUP, INC.
Contact Information
Main Address
4975 Preston Park Blvd. Suite 820, Plano, TX 75093Mailing Address
4975 Preston Park Blvd. Suite 820, Plano, TX 75093Phone Number
(972) 490-0150Established
Texas since 04/10/2001Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/30/2019)
(3/21/2024)
(1/3/2020)
(4/30/2019)
(1/3/2020)
(10/8/2026)
(1/5/2022)
(1/3/2020)
(5/1/2019)
(4/30/2019)
(1/3/2020)
(1/3/2020)
(1/3/2020)
(1/2/2026)
(10/8/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Sep 2018About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1983About the Series 6 examSeries 39 — Direct Participation Programs Principal Examination
Passed Dec 2006About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Bruce Chess's CRS (Customer Relationship Summary).
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