Richard Wells
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 Wells, who also goes by Richard Dearborn Wells, Rick Wells, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 3 firms and has passed the Series 63, SIE, Series 6, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2012 - December 31, 2024
GUIDESTONE FINANCIAL SERVICES
March 27, 2001 - August 31, 2005
FORESIDE FUNDS DISTRIBUTORS LLC
September 18, 1987 - November 25, 1996
NYLIFE SECURITIES LLC
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
GUIDESTONE FINANCIAL SERVICES
CRD#: 148249 / SEC#: , 8-67995
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUIDESTONE FINANCIAL RESOURCES OF THE SOUTHERN BAPTIST CONVENTION | MEMBER | |
| BAILEY, CHAD MICHAEL | PRESIDENT | 5567481 |
| COOK, ROBERT SCOTT | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 5587943 |
| HALPIN, JEREMY LOWELL | FINOP/CFO/TREASURER | 6560503 |
| HAMES, DEANA FOLMAR | DIRECTOR | 7444625 |
| KELLY, CHRISTOPHER LEE | DIRECTOR | 7178167 |
| TUCKER, JASON | DIRECTOR | 8141526 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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