Richard J. Large
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 John Large III, who also goes by Richard John III Large, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 3 firms and has passed the SIE 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
June 11, 1991 - January 22, 2018
RH INVESTMENT CORPORATION
September 4, 1990 - May 21, 1991
WELLS FARGO CLEARING SERVICES, LLC
April 23, 1985 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
RH INVESTMENT CORPORATION
CRD#: 13457 / SEC#: , 8-29222
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.
