Richard A. Edwards
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 Edwards was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 6 firms and has passed the Series 63, SIE 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
March 1, 2016 - December 31, 2016
THE LEADERS GROUP, INC.
September 12, 2014 - February 4, 2016
STONEX SECURITIES INC.
May 18, 2004 - September 12, 2014
WRP INVESTMENTS, INC.
July 1, 1998 - May 18, 2004
MAIN STREET MANAGEMENT COMPANY
November 14, 1994 - July 13, 1998
HIMCO DISTRIBUTION SERVICES COMPANY
January 30, 1986 - December 17, 1992
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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