Richard G. Sarkisian
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 Gabriel Sarkisian, who also goes by Richard Sarkisian, Rick Sarkisian, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 4 firms and has passed the Series 63, Series 55, Series 7, Series 3 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
April 1, 2002 - June 21, 2004
SOLARIS SECURITIES, INC.
March 7, 2001 - December 17, 2001
NEW WORLD FINANCIAL, INC.
December 1, 1997 - November 9, 2001
PACIFIC CONTINENTAL SECURITIES CORPORATION
March 9, 1992 - July 14, 1993
JAMES CAPEL INCORPORATED
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 55
Date: 3/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
SOLARIS SECURITIES, INC.
CRD#: 31998 / SEC#: , 8-45633
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COX, CHRISTOPHER JOSEPH | PRESIDENT AND CEO AND CCO | 2723225 |
Disclosures
| Regulatory Event | 4 |
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.
