Richard E. Schell
Professional summary
Richard Edward Schell, who also goes by Richard E Schell, is a registered financial professional currently at COMERICA SECURITIES located in Detroit, Michigan.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 34, Series 3, Series 7, Series 14, Series 24, Series 8, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Schell's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2019 - Present
COMERICA SECURITIES
Office #1: 1000 Woodward Ave, Detroit, MI 48226April 16, 2013 - November 9, 2015
TD AMERITRADE CLEARING, INC.
February 26, 2013 - February 2, 2018
TD AMERITRADE, INC.
February 24, 2011 - October 11, 2012
NEWEDGE USA, LLC
July 30, 2001 - February 15, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 23, 1996 - June 25, 2004
FIRST OPTIONS OF CHICAGO, 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
Series 8
Date: 8/12/1999
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
Company Information
COMERICA SECURITIES
CRD#: 17079Detroit, MI 48226TRUST BUT VERIFY
Monitor Richard Schell
Get automatic monthly alerts on:
