Richard Archer
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 Archer, who also goes by Richard Arched, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 6 firms and has passed the Series 63, 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
January 20, 1998 - October 26, 1999
BROCKINGTON SECURITIES, INC.
August 25, 1992 - November 19, 1997
AEGIS CAPITAL CORP.
January 14, 1991 - September 3, 1992
CASTLE SECURITIES CORP.
July 24, 1989 - January 16, 1991
SILVER, GRAY & CO., INC.
May 17, 1988 - July 25, 1989
STRATTON OAKMONT INC.
October 31, 1986 - May 20, 1988
ALEXANDER MICHAELS, 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
Current Firm
BROCKINGTON SECURITIES, INC.
CRD#: 37438 / SEC#: , 8-47749
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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