Richard B. Travis

GREAT PACIFIC SECURITIES

Costa Mesa, CA 92626

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CRD#: 1507068

Professional summary

Richard Burling Travis, who also goes by Richard B Travis, is a registered financial professional currently at GREAT PACIFIC SECURITIES located in Costa Mesa, California.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 7 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 52TO, SIE, Series 55, Series 7 and Series 24 exams.

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Aliases

Richard B Travis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 5, 2025 - Present

GREAT PACIFIC SECURITIES

Office #1: 151 Kalmus Drive, Building H8, Costa Mesa, CA 92626

CRD#: 29251

Costa Mesa, CA

Past

July 8, 2020 - August 1, 2023

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

NEW YORK, NY

Past

April 2, 2012 - April 7, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

SAN DIEGO, CA

Past

July 16, 1997 - March 14, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

SAN DIEGO, CA

Past

October 19, 1995 - November 6, 1996

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

April 30, 1991 - October 6, 1995

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

NEW YORK, NY

Past

June 24, 1986 - April 30, 1991

MABON, NUGENT & CO.

CRD#: 2617

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/5/2025)

Exams

State Security Law Exam

Series 63

Date: 2/6/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/10/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/1999

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

Current Firm

GREAT PACIFIC SECURITIES

GREAT PACIFIC FIXED INCOME SECURITIES, INC. | GREAT PACIFIC SECURITIES

CRD#: 29251 / SEC#: , 8-44398

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

151 Kalmus Drive, Building H8, Costa Mesa, CA 92626

Mailing Address

151 Kalmus Drive, Building H8, Costa Mesa, CA 92626

Phone number

(714) 619-3000

Established

California since 09/01/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VINCK, CHRISTOPHER VINCENT	PRINCIPAL OPERATING OFFICER	2447335
VINCK, CHRISTOPHER VINCENT	TRADING	2447335
VINCK, CHRISTOPHER VINCENT	CEO	2447335
VINCK, CHRISTOPHER VINCENT	CCO	2447335
MORRISSEY, TERENCE LANDRY	PRINCIPAL FINANCIAL OFFICER, FINOP, AND CFO	5964634

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Richard B. Travis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Burling Travis's CRS (Customer Relationship Summary).

Certified licenses

Experience

FHN FINANCIAL SECURITIES CORP.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

INTESA SANPAOLO IMI SECURITIES CORP.

MABON, NUGENT & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/6/1989

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/10/2000

Series 7

Date: 6/21/1986

Series 24

Date: 3/2/1999

FINRA

Investors' Exchange LLC

Current Firm

GREAT PACIFIC SECURITIES

Contact information

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GREAT PACIFIC SECURITIES

TRUST BUT VERIFY

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