Richard H. Bailey
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 Harold Bailey, who also goes by Rich Bailey, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1990. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2002 - April 10, 2007
PACIFIC WEST FINANCIAL CONSULTANTS INC
November 27, 2001 - April 10, 2007
PACIFIC WEST SECURITIES, INC.
January 17, 2001 - November 26, 2001
RUSHMORE SECURITIES CORPORATION
July 15, 1999 - February 26, 2001
NORTHSTAR SECURITIES, INC.
June 6, 1994 - August 24, 1999
WMA SECURITIES, INC.
February 12, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 2, 1990 - November 18, 1991
PFS INVESTMENTS 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
PACIFIC WEST FINANCIAL CONSULTANTS INC
CRD#: 108728 / SEC#: 801-55508
Contact information
Red Flags
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