Caral D. Richard
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.
Caral Dwight Richard was a registered financial professional .
Caral is a previously registered financial professional and started their career in finance in 1987. Caral had worked at 4 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 1990 - October 21, 1991
SOUTHARD SECURITIES CORPORATION
June 7, 1990 - October 9, 1990
AZTEC SECURITIES, INC.
November 15, 1989 - May 4, 1990
AZTEC SECURITIES, INC.
April 26, 1988 - October 5, 1989
TEXAKOMA FINANCIAL, INC.
October 5, 1987 - November 12, 1987
EASTERN FINANCIAL CORPORATION
July 31, 1987 - September 23, 1987
TEXAKOMA FINANCIAL, 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
SOUTHARD SECURITIES CORPORATION
CRD#: 23236 / SEC#: , 8-40306
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
