Richard A. Green
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 Alan Green, who also goes by Richard Green, Rick Green, Ricky Alan Green, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 10 firms and has passed the Series 66, Series 63 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
January 14, 2014 - October 31, 2017
GLOBAL VIEW CAPITAL MANAGEMENT LLC
January 6, 2012 - November 27, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - November 27, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 13, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
May 12, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
October 18, 2002 - April 9, 2010
INTERCAROLINA FINANCIAL SERVICES, INC.
April 1, 1999 - November 6, 2000
WACHOVIA SECURITIES, INC.
June 1, 1998 - April 1, 1999
WACHOVIA CAPITAL MARKETS, INC.
April 10, 1997 - June 1, 1998
WACHOVIA BROKERAGE SERVICE
January 8, 1988 - December 31, 1993
WACHOVIA BROKERAGE SERVICE
August 14, 1984 - June 23, 1986
FSC SECURITIES CORPORATION
March 22, 1984 - August 6, 1984
INDEPENDENCE SECURITIES, INC.
Primary Firm SEC Registration
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
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
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,570 |
| AUM (Assets Under Management) | $ 707,976,833 |
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.
