Richard A. Palmer
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 Allen Palmer, who also goes by Richard A Palmer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 6 firms and has passed the Series 65, 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
October 13, 2004 - December 31, 2012
OAK FINANCIAL GROUP INC
December 6, 2001 - November 14, 2003
CHARLES SCHWAB & CO., INC.
March 7, 2001 - November 26, 2001
JOSEPHTHAL & CO., INC.
June 21, 1999 - February 28, 2001
CHASE INVESTMENT SERVICES CORP.
March 2, 1998 - March 31, 1999
CHASE INVESTMENT SERVICES CORP.
February 23, 1996 - August 1, 1996
FMG SECURITIES CORP.
September 22, 1987 - August 18, 1988
DB ALEX. BROWN LLC
Primary Firm SEC Registration
OAK FINANCIAL GROUP INC
CRD#: 106293 / SEC#: 801-40926
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
OAK FINANCIAL GROUP INC
CRD#: 106293 / SEC#: 801-40926
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 133 |
| AUM (Assets Under Management) | $ 146,883,351 |
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.
