Richard P. Conklin

FIRST ANALYSIS SECURITIES

Chicago, IL 60606

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CRD#: 1562968

Professional summary

Richard Paul Conklin, CIMA® is a registered financial professional currently at FIRST ANALYSIS SECURITIES CORPORATION located in Chicago, Illinois.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Paul Conklin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 5, 2012 - Present

FIRST ANALYSIS SECURITIES CORPORATION

Office #1: One South Wacker Drive Suite 3900, Chicago, IL 60606

CRD#: 10446

Chicago, IL

Past

August 26, 2008 - April 13, 2012

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CHICAGO, IL

Past

May 16, 2000 - March 16, 2007

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

September 9, 1998 - October 7, 2000

JONES LANG LASALLE SECURITIES, INC.

CRD#: 37332

CHICAGO, IL

Past

March 9, 1992 - October 25, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

September 11, 1990 - February 10, 1992

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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

Colorado
(6/18/2024)

Florida
(5/6/2024)

Illinois
(4/5/2012)

North Carolina
(6/18/2024)

Pennsylvania
(6/18/2024)

South Carolina
(7/24/2024)

Texas
(6/18/2024)

Exams

State Security Law Exam

Series 63

Date: 12/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/5/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST ANALYSIS SECURITIES CORPORATION

FIRST ANALYSIS | FIRST ANALYSIS SECURITIES CORPORATION

CRD#: 10446 / SEC#: , 8-27350

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One South Wacker Drive Suite 3900, Chicago, IL 60606

Mailing Address

One South Wacker Drive Suite 3900, Chicago, IL 60606

Phone number

(312) 258-1400

Established

Illinois since 01/27/1982

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FIRST ANALYSIS CORPORATION	PARENT COMPANY
HESS, DAVID CLARENCE	CHIEF COMPLIANCE OFFICER	2187717
KHAN, RIAAD SYED	CHIEF FINANCIAL OFFICER / FINOP	6759962
LESHUK, DAVID JOHN	DIRECTOR	2935779
NICKLIN, FRANCIS OLIVER JR	CEO, MANAGING DIRECTOR & PRESIDENT	347877
NICKLIN, MATTHEW OLIVER	MANAGING DIRECTOR	4216136

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard P. Conklin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Paul Conklin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

WILLIAM BLAIR

JONES LANG LASALLE SECURITIES, INC.

KIDDER, PEABODY & CO. INCORPORATED

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2000

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/8/1998

Series 24

Date: 4/5/2003

FINRA

Current Firm

FIRST ANALYSIS SECURITIES CORPORATION

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST ANALYSIS SECURITIES CORPORATION

TRUST BUT VERIFY

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