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RR

Richard J. Rouse

Some features on this profile are disabled
CRD#: 1135898
RR

Professional summary

Richard John Rouse was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Richard had worked at 11 firms, which includes J.P. TURNER & COMPANY L.L.C., SCHNEIDER SECURITIES INC., GLOBAL CAPITAL SECURITIES CORPORATION, KOBER FINANCIAL CORP., MARSHALL DAVIS INC., BLINDER ROBINSON & CO. INC., INTERNATIONAL SECURITIES GROUP LTD., FIRST EASTERN SECURITIES CORPORATION, CHESLEY AND DUNN INC., ALLIED CAPITAL GROUP INC., RICHEY FRANKEL & COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick John Rouse

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 2002 - November 18, 2004

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

April 25, 1995 - September 30, 2002

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

January 25, 1993 - April 17, 1995

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

January 8, 1990 - January 25, 1993

KOBER FINANCIAL CORP.

BD
CRD#: 17551
ENGLEWOOD, CO
Past

October 20, 1989 - November 28, 1989

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

May 14, 1987 - October 2, 1989

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096
Past

March 3, 1986 - April 21, 1986

INTERNATIONAL SECURITIES GROUP, LTD.

BD
CRD#: 14499
Past

January 28, 1985 - January 1, 1986

FIRST EASTERN SECURITIES CORPORATION

BD
CRD#: 14514
Past

November 2, 1984 - November 26, 1984

CHESLEY AND DUNN, INC.

BD
CRD#: 8362
Past

July 19, 1984 - December 6, 1984

ALLIED CAPITAL GROUP, INC.

BD
CRD#: 13146
Past

February 16, 1984 - June 25, 1984

RICHEY, FRANKEL & COMPANY

BD
CRD#: 8548

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/29/1984
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/1984
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/17/1983
Financial and Operations Principal Examination

Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.
J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: , 8-50156

BD
Terminated by SEC on 04/04/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 04/11/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event30
Arbitration12

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

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

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