Rick J. Worner
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.
Rick James Worner, who also goes by Eric James Worner, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1984. Rick had worked at 4 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2015 - January 6, 2021
BURCH & COMPANY, INC
March 23, 1990 - October 2, 2014
OPPENHEIMER & CO. INC.
May 22, 1986 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
November 21, 1984 - April 21, 1986
LM CONSOLIDATED FINANCIAL 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 12/1/2022
General Securities Representative ExaminationCurrent Firm
BURCH & COMPANY, INC
CRD#: 102280 / SEC#: , 8-52121
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
