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RC

Richard B. Chess

CRESCENT SECURITIES GROUP
Plano, TX 75093
Some features on this profile are disabled
CRD#: 1127716
RC

Professional summary


Richard Bruce Chess, who also goes by Rick Chess, is a registered financial professional 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.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Rick Chess

Other business activities


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.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Richard Bruce Chess's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

October 8, 2018 - Present

CRESCENT SECURITIES GROUP, INC.

Office #1: 4975 Preston Park Blvd. Suite 820, Plano, TX 75093
BD
CRD#: 114993
Plano, TX
Past

January 7, 2013 - October 11, 2013

LOWELL & COMPANY, INC.

BD
CRD#: 24913
LUBBOCK, TX
Past

November 28, 2006 - January 19, 2011

AMERICAN REALTY CAPITAL MARKETS, LLC

BD
CRD#: 135277
MISSION VIEJO, CA
Past

December 17, 2002 - November 1, 2004

GRUBB & ELLIS SECURITIES, INC.

BD
CRD#: 17932
SANTA ANA, CA
Past

May 30, 1984 - July 6, 1988

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
Past

April 29, 1983 - May 14, 1984

ANDERSON & STRUDWICK, INCORPORATED

BD
CRD#: 48

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/30/2019)
RR
Colorado
(3/21/2024)
RR
Delaware
(1/3/2020)
RR
District of Columbia
(1/3/2020)
RR
Florida
(4/30/2019)
RR
Georgia
(1/3/2020)
RR
Kansas
(1/5/2022)
RR
Maryland
(1/3/2020)
RR
North Carolina
(5/1/2019)
RR
Ohio
(4/30/2019)
RR
Pennsylvania
(1/3/2020)
RR
South Carolina
(1/3/2020)
RR
Texas
(1/3/2020)
RR
Virginia
(10/8/2018)

Exams


State Security Law Exam
RR
Series 63
Date: 9/10/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/1/2022
General Securities Representative Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


CS
CRESCENT SECURITIES GROUP, INC.
CRESCENT SECURITIES GROUP, INC.

CRD#: 114993 / SEC#: , 8-53457

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information


Main Address
4975 Preston Park Blvd. Suite 820, Plano, TX 75093
Mailing Address
4975 Preston Park Blvd. Suite 820, Plano, TX 75093
Phone number
(972) 490-0150
Established
Texas since 04/10/2001
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
D2 EQUITY HOLDINGS, INC.SHAREHOLDER
DUREN, TRAVIS NICKDIRECTOR/PRESIDENT/SECRETARY/CCO1589445
STERLING, DONALD WILLIAMFINOP
TRAVIS, RUSSELL WARRENVICE PRESIDENT2759751

Disclosures


Regulatory Event2

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.

Company Information


CRESCENT SECURITIES GROUP, INC.

CRD#: 114993Plano, TX 75093

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