Richard S. Childs
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 Spencer Childs, who also goes by Spencer Childs, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
August 11, 2017 - November 27, 2018
WHITEHALL-PARKER SECURITIES, INC.
November 7, 2012 - October 13, 2016
WESTPARK WEALTH ADVISORS, INC.
May 14, 2004 - December 20, 2011
WESTPARK WEALTH ADVISORS, INC.
August 21, 2002 - December 31, 2004
IMS SECURITIES, INC.
November 29, 1999 - October 13, 2016
IMS SECURITIES, INC.
August 15, 1997 - November 22, 1999
SECURITIES AMERICA, INC.
January 1, 1997 - August 5, 1997
WELLS FARGO CLEARING SERVICES, LLC
January 24, 1994 - December 24, 1996
DAIN RAUSCHER INCORPORATED
June 23, 1989 - November 22, 1993
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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