Richard R. Harrison
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 Roy Harrison was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1986. Richard had worked at 9 firms and has passed the Series 65, 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 30, 2006 - June 22, 2015
CAPITAL FINANCIAL GROUP, INC.
January 23, 1995 - July 31, 2000
KMS FINANCIAL SERVICES, INC.
September 8, 1993 - March 21, 1995
LPL FINANCIAL LLC
December 3, 1992 - September 8, 1993
FSC SECURITIES CORPORATION
September 17, 1991 - November 30, 1992
THE INVESTMENT CENTER, INC.
November 12, 1990 - September 18, 1991
PRINCIPAL SECURITIES, INC.
September 22, 1989 - October 17, 1990
CETERA WEALTH SERVICES, LLC
August 8, 1989 - September 21, 1989
KEOGLER, MORGAN & COMPANY, INC.
March 20, 1986 - June 30, 1989
AMERIPRISE FINANCIAL SERVICES, 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
CAPITAL FINANCIAL GROUP, INC.
CRD#: 121632 / SEC#:
Contact information
Red Flags
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