Richard M. Marvin
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 Morris Marvin, who also goes by Richard M Marvin, Richard Morris Marvin, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 7 firms and has passed the Series 63, Series 7 and Series 53 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, 2009 - October 10, 2013
FIRST TRYON SECURITIES, LLC
November 26, 2007 - November 4, 2009
WELLS FARGO SECURITIES, LLC
October 5, 2005 - November 26, 2007
A. G. EDWARDS & SONS, INC.
November 1, 2000 - September 2, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 1, 1999 - November 6, 2000
WACHOVIA SECURITIES, INC.
June 1, 1998 - April 1, 1999
WACHOVIA CAPITAL MARKETS, INC.
March 4, 1997 - June 1, 1998
WACHOVIA BROKERAGE SERVICE
October 21, 1987 - June 1, 1998
WACHOVIA BROKERAGE SERVICE
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
FIRST TRYON SECURITIES, LLC
CRD#: 7336 / SEC#: , 8-21426
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUNNEMER & CO. | MEMBER | |
| BRUNNEMER, HUBER KEITH III | MEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE | 2758256 |
| BECK, ERIC JASON | CCO | 4824373 |
| BRUNNEMER, HEBER KEITH JR | MEMBER | 33824 |
| CARPENTER, MARGARET BRUNNEMER MS. | MEMBER, CHIEF FINANCIAL OFFICER, FINOP, | 2042716 |
| HOWELL, ELIZABETH WARREN | MEMBER, SENIOR VICE PRESIDENT | 4791377 |
| JOSEPH, ERIC MICHAEL | MEMBER, SENIOR VICE PRESIDENT | 4001509 |
| WARDLAW, CRAIG M JR. | MEMBER, SENIOR VICE PRESIDENT | 5316503 |
Disclosures
| Regulatory Event | 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.
