Richard E. Collins
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 Ellison Collins, who also goes by Richard Ellison Collins Jr, Rick Collins, 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, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2017 - February 22, 2024
DIVERGENT WEALTH ADVISORS, LLC
April 21, 2017 - October 1, 2018
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - April 24, 2017
MORGAN STANLEY
June 1, 2009 - April 24, 2017
MORGAN STANLEY
September 23, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 9, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 4, 1990 - August 30, 1993
WELLS FARGO CLEARING SERVICES, LLC
March 25, 1987 - September 4, 1990
BOETTCHER & COMPANY, 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 8
Date: 3/26/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DIVERGENT WEALTH ADVISORS, LLC
CRD#: 286383 / SEC#: 802-131661
Contact information
Documents
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 11/19/2024 |
Red Flags
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