Richard L. Robinson
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 Louis Robinson 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 65, Series 63, SIE, Series 3, 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
January 26, 2012 - November 12, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 18, 2011 - November 12, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 28, 2009 - October 20, 2011
MSI FINANCIAL SERVICES, INC.
August 13, 2009 - October 20, 2011
MSI FINANCIAL SERVICES, INC.
February 27, 2008 - August 14, 2009
KESTRA INVESTMENT SERVICES, LLC
February 27, 2008 - August 14, 2009
KESTRA INVESTMENT SERVICES, LLC
April 2, 2007 - January 11, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - January 11, 2008
MORGAN STANLEY & CO. LLC
November 16, 1994 - April 2, 2007
MORGAN STANLEY DW INC.
September 9, 1989 - April 2, 2007
MORGAN STANLEY DW INC.
March 25, 1986 - September 1, 1989
SWINK & COMPANY, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
