Richard N. Mccay
Professional summary
Richard Neil Mccay, who also goes by Rick Mccay, is a registered financial professional currently at CASTLE PLACEMENT, LLC located in Los Angeles, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 7 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Neil Mccay's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2020 - Present
CASTLE PLACEMENT, LLC
June 2, 1993 - November 29, 1993
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
January 14, 1987 - March 25, 1987
POLLOCK FINANCIAL CORPORATION
January 14, 1986 - December 8, 1986
ROBINSON SECURITIES CORP.
July 2, 1985 - February 13, 1986
CAPITAL CONCEPTS INVESTMENT CORP.
January 28, 1985 - February 19, 1986
FIRST REPUBLIC CAPITAL CORPORATION
April 12, 1984 - December 7, 1984
ROTHSCHILD REGISTRY INTERNATIONAL, 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
(1/5/2023)
(1/23/2020)
Exams
Series 79TO
Date: 12/20/2021
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 9/14/2019
General Securities Representative ExaminationFINRA
Current Firm
CASTLE PLACEMENT, LLC
CRD#: 189511 / SEC#: , 8-69612
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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