Richard B. Emerson
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 Byron Emerson, who also goes by Dick Emerson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1974. Richard had worked at 13 firms and has passed the Series 63, Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2005 - April 14, 2008
STARLIGHT FUNDING INVESTMENTS, LLC
December 6, 1996 - August 12, 1998
CONSECO EQUITY SALES, INC.
November 27, 1995 - October 11, 1996
CITICORP INVESTMENT SERVICES
April 10, 1995 - July 7, 1995
VOYA INVESTMENTS DISTRIBUTOR, LLC
June 26, 1989 - April 10, 1995
ASTRA FUND DISTRIBUTORS CORP.
February 4, 1988 - August 24, 1988
AEGON USA SECURITIES INC.
February 4, 1987 - December 8, 1987
RICHARD ROBERTS CAPITAL CORP.
July 24, 1986 - February 18, 1987
1ST CAPITAL ASSETS GROUP, INC.
January 8, 1985 - April 30, 1986
D.R. DWYER & COMPANY
June 7, 1982 - January 5, 1983
HOWE BARNES HOEFER & ARNETT, INC.
September 13, 1979 - May 21, 1982
BACON, WHIPPLE & CO.
February 4, 1977 - December 12, 1979
MFS SECURITIES, INC.
May 14, 1974 - July 13, 1977
ENI CORPORATION
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 1
Date: 5/8/1974
Registered Representative ExaminationSeries 40
Date: 1/18/1978
Registered Principal ExaminationCurrent Firm
STARLIGHT FUNDING INVESTMENTS, LLC
CRD#: 103957 / SEC#: , 8-52424
Contact information
FINRA licenses (4 States and Territories)
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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