Richard L. Bearden
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 Lynn Bearden was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 11 firms and has passed the Series 63, Series 1 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
May 17, 2007 - August 17, 2009
QA3 FINANCIAL LLC
May 17, 2007 - August 17, 2009
QA3 FINANCIAL CORP.
April 12, 2005 - May 25, 2007
INTERVEST INTERNATIONAL, INC.
June 4, 2002 - May 25, 2007
INTERVEST INTERNATIONAL EQUITIES CORPORATION
April 18, 2000 - June 4, 2002
CETERA ADVISORS LLC
January 1, 1999 - March 12, 2018
BEARDEN WEALTH STRATEGIES GROUP
July 10, 1998 - April 25, 2000
SECURITIES AMERICA, INC.
July 3, 1991 - July 15, 1998
CETERA ADVISORS LLC
August 7, 1985 - July 8, 1986
PILOT FINANCIAL SERVICES, INC.
December 27, 1983 - July 19, 1991
CONSOLIDATED INVESTMENT SERVICES, INC.
May 20, 1981 - November 4, 1983
FINANCIAL PLANNERS EQUITY CORPORATION
May 1, 1970 - April 25, 1981
FOUNDERS ASSET MANAGEMENT, 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 1
Date: 4/21/1970
Registered Representative ExaminationCurrent firm
No current employment
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.
