Richard C. Ferris
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 Charles Ferris, who also goes by Dick Ferris, 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 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
May 23, 1989 - September 28, 1989
PRINCETON FINANCIAL GROUP, INC.
March 2, 1989 - April 27, 1989
PROFILE INVESTMENTS CORPORATION
September 7, 1988 - December 1, 1988
INVESTORS GROUP, LTD.
April 7, 1987 - June 25, 1988
DOUGLAS BREMEN & CO., INC.
September 2, 1986 - February 27, 1987
LEHMAN BROTHERS INC.
August 22, 1984 - October 1, 1986
PRUDENTIAL EQUITY GROUP, LLC
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
PRINCETON FINANCIAL GROUP, INC.
CRD#: 14597 / SEC#: , 8-30920
Contact information
Documents
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.
