Richard C. Westlund
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 Craig Westlund was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2012 - July 15, 2016
ORCHARD SECURITIES, LLC
March 12, 2012 - September 5, 2012
EDWARD JONES
November 14, 2003 - August 2, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 25, 2001 - November 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 25, 2001 - November 15, 2003
OSAIC FA, INC.
July 21, 2000 - February 28, 2001
GUARDIAN INVESTOR SERVICES LLC
June 23, 1999 - July 13, 2000
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 26, 1998 - June 16, 1999
TRANSAMERICA CAPITAL, LLC
November 7, 1997 - October 12, 1998
NORTHSTAR DISTRIBUTORS, INC.
January 4, 1988 - June 12, 1997
SECURIAN FINANCIAL SERVICES, INC.
September 23, 1983 - November 9, 1987
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
ORCHARD SECURITIES, LLC
CRD#: 133378 / SEC#: , 8-66719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREEKSIDE LAND DEVELOPMENT, LLC | MEMBER | |
| FAR VISIONS, LLC | MEMBER | |
| NORTH CANYON ENTERPRISES, LLC | MEMBER | |
| TOTTENHAM INVESTMENTS, LLC | MEMBER | |
| TRIPLE CROWN SECURITES, LLC | MEMBER | |
| BADALAMENTI, CHARLES RICHARD | FINOP | 2065038 |
| BRADBURN, KEVIN CHRISTOPHER | MANAGER, CHIEF EXECUTIVE OFFICER | 2718206 |
| GARRETT, TAYLOR WESTON | PRESIDENT | 4829547 |
| HART, ADRIENNE YOST | CHIEF COMPLIANCE OFFICER | 1510179 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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