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Richard Henderson Crowe Jr

CRD# 1210519·Registered 1984 - 1987
Previously Registered: Being a previously registered professional could mean that Richard 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.

Professional Summary

Richard Henderson Crowe JR, who also goes by Jr Richard Henderson Crowe, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1984 - 1987. Richard had worked at 1 firm and has passed the Series 63 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jr Richard Henderson Crowe

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

42 years in the financial services industry

Current & Past Employments

WAKEFIELD SECURITIES CORPORATION·CRD# 14453
BD
April 16, 1984 - December 17, 1987

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Current Firm

WS
WAKEFIELD SECURITIES CORPORATION

INDEPENDENT AMERICAN EQUITIES,LTD. | WAKEFIELD SECURITIES CORPORATION

CRD#: 14453 / SEC#: 8-25366
BD
Terminated by FINRA on 01/29/1988

Contact Information

Established

Delaware since 08/25/1980

Firm Type

Corporation

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1983About the Series 63 exam

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CRS (Client Relationship Summary)

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

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