Richard C. Kilbride
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 Kilbride was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 6 firms and has passed the Series 63, Series 65, 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
June 22, 2015 - October 30, 2017
UNIFIED FINANCIAL SECURITIES, LLC
August 16, 2010 - April 19, 2013
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 6, 2001 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
February 22, 1993 - November 10, 2000
FAM DISTRIBUTORS, INC.
July 30, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
August 23, 1983 - November 17, 1988
UBS FINANCIAL SERVICES INC.
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
UNIFIED FINANCIAL SECURITIES, LLC
CRD#: 7868 / SEC#: , 8-23508
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULTIMUS FUND SOLUTIONS, LLC | OWNER | |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER | 2217795 |
Disclosures
| Regulatory Event | 4 |
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.
