Richard S. Bennett
Professional summary
Richard Scott Bennett was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Richard had worked at 3 firms, which includes INVESTORS SECURITY COMPANY INC., OSAIC WEALTH INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 1996 - April 15, 1997
INVESTORS SECURITY COMPANY, INC.
July 23, 1991 - August 2, 1996
OSAIC WEALTH, INC.
September 21, 1989 - July 24, 1991
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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