Richard G. Bell
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 Gilbert Bell 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 65, Series 63, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2012 - December 20, 2013
LIFEMARK SECURITIES CORP.
June 2, 2006 - February 29, 2012
IC ADVISORY SERVICES, INC.
July 1, 2004 - June 2, 2006
THE INVESTMENT CENTER, INC.
July 1, 2004 - February 29, 2012
THE INVESTMENT CENTER, INC.
January 16, 2004 - April 6, 2004
THE INVESTMENT CENTER, INC.
January 16, 2004 - April 6, 2004
THE INVESTMENT CENTER, INC.
September 28, 1999 - January 23, 2004
LPL FINANCIAL LLC
September 10, 1999 - January 23, 2004
LPL FINANCIAL LLC
November 26, 1997 - September 14, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 23, 1985 - November 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
Series 8
Date: 5/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
