Richard A. Gleason
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 A Gleason, who also goes by Richard Arlington Gleason Jr, Richard Arlington Gleason, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 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
June 24, 2010 - February 14, 2020
FISHER INVESTMENTS
June 1, 2009 - July 27, 2010
MORGAN STANLEY
June 1, 2009 - July 27, 2010
MORGAN STANLEY
May 30, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 29, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 8, 1997 - May 29, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1996 - May 29, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1992 - September 23, 1996
PRUDENTIAL EQUITY GROUP, LLC
November 4, 1988 - January 15, 1992
LEHMAN BROTHERS INC.
February 23, 1988 - November 15, 1988
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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: 5/12/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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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