Richard A. Mcgimsey
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 Mcgimsey, who also goes by Richard Alan Mcgimsey, 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 65, Series 63, SIE, 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
October 27, 2009 - October 30, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 22, 2009 - October 30, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 24, 2007 - October 20, 2009
COLONIAL ASSET MANAGEMENT INC
May 22, 2007 - October 20, 2009
COLONIAL BROKERAGE, INC.
April 7, 2006 - December 18, 2006
BBVA COMPASS INVESTMENT SOLUTIONS, INC
April 7, 2006 - December 18, 2006
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 14, 2000 - April 11, 2006
UBS FINANCIAL SERVICES INC.
October 14, 1997 - April 11, 2006
UBS FINANCIAL SERVICES INC.
August 15, 1997 - August 14, 2000
J.C. BRADFORD & CO.
July 31, 1993 - August 22, 1997
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 12, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
May 30, 1984 - December 22, 1987
THOMAS BRYAN & ASSOCIATES, 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
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
