Reagan B. Richmond
Professional summary
Reagan Burton Richmond was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Reagan is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Reagan had worked at 8 firms, which includes FINANCIAL WEST GROUP, NORTHEAST SECURITIES LLC, TEXAS CAPITAL SECURITIES INC., REGENCY CAPITAL GROUP INC., ROTH CAPITAL PARTNERS LLC, CHATFIELD DEAN & CO. INC., FIRST AMERICAN BILTMORE SECURITIES INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 1995 - June 16, 1995
FINANCIAL WEST GROUP
June 7, 1994 - April 7, 1995
NORTHEAST SECURITIES, LLC
February 4, 1994 - June 3, 1994
TEXAS CAPITAL SECURITIES, INC.
January 25, 1993 - December 22, 1993
REGENCY CAPITAL GROUP, INC.
May 22, 1991 - February 2, 1993
ROTH CAPITAL PARTNERS, LLC
January 9, 1991 - May 22, 1991
CHATFIELD DEAN & CO., INC.
November 29, 1990 - January 29, 1991
FIRST AMERICAN BILTMORE SECURITIES, INC.
February 23, 1990 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Series 62
Date: 2/20/1990
Corporate Securities Limited Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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