Richard B. Travis
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 Burling Travis, who also goes by Richard B Travis, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2025 - December 10, 2025
GREAT PACIFIC SECURITIES
July 8, 2020 - August 1, 2023
FHN FINANCIAL SECURITIES CORP.
April 2, 2012 - April 7, 2020
RAYMOND JAMES & ASSOCIATES, INC.
July 16, 1997 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
October 19, 1995 - November 6, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 30, 1991 - October 6, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
June 24, 1986 - April 30, 1991
MABON, NUGENT & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 1/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
GREAT PACIFIC SECURITIES
CRD#: 29251 / SEC#: , 8-44398
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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