Richard A. Gurdjian
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 Gurdjian was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2010 - April 3, 2017
SPC
September 19, 1995 - April 3, 2017
SIGMA FINANCIAL CORPORATION
February 20, 1992 - February 7, 1994
SECURITIES AMERICA, INC.
April 10, 1989 - May 9, 1990
CETERA WEALTH SERVICES, LLC
July 15, 1987 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
January 14, 1985 - December 18, 1985
MUTUAL SERVICE CORPORATION
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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