Richard R. Garsh
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 Robert Garsh, who also goes by Rick Garsh, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 6 firms and has passed the Series 63, Series 3 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
August 17, 1988 - January 9, 1990
RUAN SECURITIES CORPORATION
October 9, 1986 - November 16, 1987
RAYMOND JAMES & ASSOCIATES, INC.
February 8, 1985 - October 13, 1986
BLACKSTOCK & CO., INC.
August 28, 1984 - January 31, 1985
DONALD SHELDON & CO., INC.
July 11, 1984 - August 16, 1984
CITIWIDE SECURITIES CORP.
March 22, 1984 - June 13, 1984
VANTAGE SECURITIES OF COLORADO, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RUAN SECURITIES CORPORATION
CRD#: 16276 / SEC#: , 8-33647
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
| Bond | 1 |
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.
