Richard H. Reed
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 Howard Reed, AIF® was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 16 firms and has passed the Series 66, Series 63, Series 7 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
September 28, 2010 - October 30, 2013
MMC SECURITIES LLC
September 28, 2010 - October 30, 2013
MMC SECURITIES LLC
June 30, 2005 - December 31, 2013
THE BOSTONIAN GROUP
April 29, 2005 - September 30, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 24, 2004 - May 3, 2005
LPL FINANCIAL LLC
January 23, 2002 - November 3, 2004
TRANSAMERICA INVESTORS SECURITIES, LLC
June 14, 1996 - January 3, 2002
MFS FUND DISTRIBUTORS, INC.
July 31, 1995 - April 8, 1996
MARSH & MCLENNAN SECURITIES CORPORATION
February 1, 1993 - February 9, 1995
METROPOLITAN LIFE INSURANCE COMPANY
February 1, 1993 - February 9, 1995
MSI FINANCIAL SERVICES, INC.
May 28, 1992 - November 20, 1992
MICHAEL G. RUDELSON, INC.
February 12, 1991 - May 26, 1992
THE GREAT-WEST LIFE ASSURANCE COMPANY
November 5, 1990 - February 13, 1991
EMPOWER FINANCIAL SERVICES, INC.
November 20, 1989 - October 24, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
November 20, 1989 - January 8, 1993
IDS LIFE INSURANCE COMPANY
September 18, 1989 - November 20, 1989
METLIFE INVESTORS DISTRIBUTION COMPANY
April 21, 1989 - November 8, 1989
UR FINANCIAL, INC.
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
MMC SECURITIES LLC
CRD#: 103846 / SEC#: 801-60515, 8-52349
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| HUM, CHI HONG | PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR | 1620728 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
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.
