Richard M. Bryant
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 Mark Bryant was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2015 - March 6, 2026
CFD INVESTMENTS, INC.
November 17, 2011 - December 31, 2014
GROVE POINT INVESTMENTS, LLC
December 1, 2006 - October 20, 2011
QUESTAR CAPITAL CORPORATION
February 13, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
October 28, 2005 - February 15, 2006
QUEST CAPITAL STRATEGIES, INC.
February 25, 2003 - August 19, 2005
PARKLAND SECURITIES, LLC
February 15, 1999 - February 24, 2003
FSC SECURITIES CORPORATION
September 14, 1990 - January 8, 1999
FFP SECURITIES, INC.
May 15, 1989 - September 21, 1990
FIRST PACIFIC CAPITAL CORPORATION
June 9, 1988 - May 16, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
October 19, 1987 - June 24, 1988
WADDELL & REED
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 62
Date: 10/8/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
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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