Richard L. Billings
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 Leland Billings, who also goes by Richard L Billings, 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, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2012 - September 25, 2012
MLV & CO. LLC
May 31, 2011 - December 22, 2011
NBF SECURITIES (USA) CORP.
October 13, 2010 - December 22, 2011
NATIONAL BANK OF CANADA FINANCIAL INC.
July 14, 2009 - September 29, 2010
WOOD (ARTHUR W.) COMPANY, INC.
April 8, 2004 - July 13, 2009
GVC CAPITAL LLC
February 6, 2003 - September 2, 2003
NATIONAL BANK OF CANADA FINANCIAL INC.
September 11, 2000 - September 19, 2002
COMMERZ MARKETS LLC
March 27, 1998 - August 30, 2000
GEORGE K. BAUM & COMPANY
September 8, 1997 - April 6, 1998
CREDIT AGRICOLE SECURITIES (USA) INC.
October 27, 1993 - May 9, 1997
DB ALEX. BROWN LLC
April 30, 1991 - November 10, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
December 22, 1987 - April 30, 1991
MABON, NUGENT & CO.
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 8
Date: 9/25/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MLV & CO. LLC
CRD#: 150959 / SEC#: , 8-68331
Contact information
Documents
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.
