Richard B. Ocallaghan
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 Bruce Ocallaghan was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 5 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 1999 - January 19, 2000
WORLD INVESTMENTS, LLC
May 25, 1999 - June 16, 1999
ROBERT W. BAIRD & CO. INCORPORATED
May 25, 1999 - July 1, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 22, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 22, 1993 - December 16, 1998
SIGNATOR INVESTORS, 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
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
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.
