Richard C. Boothby
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 Carl Boothby, who also goes by Rick Carl Boothby, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 12 firms and has passed the Series 65, Series 63, SIE 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 28, 2015 - January 31, 2018
J. ALDEN ASSOCIATES, INC.
March 4, 2015 - May 4, 2015
PRUCO SECURITIES, LLC.
March 17, 2014 - March 9, 2015
KESTRA INVESTMENT SERVICES, LLC
February 6, 2014 - March 9, 2015
KESTRA INVESTMENT SERVICES, LLC
April 28, 2011 - January 10, 2014
KESTRA INVESTMENT SERVICES, LLC
April 11, 2011 - January 10, 2014
KESTRA INVESTMENT SERVICES, LLC
April 28, 2009 - February 2, 2011
CUNA BROKERAGE SERVICES, INC.
January 17, 2008 - February 2, 2011
CUNA BROKERAGE SERVICES, INC.
May 15, 2007 - January 9, 2008
MML INVESTORS SERVICES, LLC
February 3, 2005 - May 10, 2007
NYLIFE SECURITIES LLC
September 10, 2004 - November 16, 2004
USI SECURITIES, INC.
February 19, 2003 - January 6, 2004
SECURITIES AMERICA, INC.
June 27, 2002 - December 10, 2002
VERAVEST INVESTMENTS, INC.
December 11, 2001 - June 14, 2002
CETERA ADVISORS LLC
April 4, 2000 - November 16, 2001
SLD AMERICA EQUITIES, INC.
November 20, 1998 - March 8, 2000
AMERITAS INVESTMENT COMPANY, 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
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
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.
