Richard H. Davis
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 Hugh Davis JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 16, 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 14, 2010 - May 28, 2020
CANACCORD GENUITY LLC
March 29, 2000 - June 21, 2010
NEEDHAM & COMPANY, LLC
November 1, 1999 - March 21, 2000
TUCKER ANTHONY INCORPORATED
May 3, 1999 - November 1, 1999
CLEARY GULL INC.
January 27, 1998 - May 3, 1999
TUCKER ANTHONY INCORPORATED
January 2, 1998 - January 27, 1998
DAIN RAUSCHER INCORPORATED
December 22, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
January 30, 1990 - September 8, 1994
WESSELS, ARNOLD & HENDERSON, L.L.C.
March 30, 1987 - January 12, 1990
J.C. BRADFORD & CO.
December 23, 1985 - January 8, 1987
TRUIST SECURITIES, 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
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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