Richard A. Huber
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 Huber was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2008 - December 31, 2015
LEGACY INVESTMENT MANAGEMENT, LLC
October 20, 1992 - January 21, 1994
OSAIC WEALTH, INC.
November 19, 1989 - December 7, 1989
OSAIC WEALTH, INC.
July 6, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 26, 1984 - July 19, 1988
FSC SECURITIES CORPORATION
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
LEGACY INVESTMENT MANAGEMENT, LLC
CRD#: 146749 / SEC#:
Contact information
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.
