Richard C. Kendrick
Professional summary
Richard Charles Kendrick, who also goes by Richard Charles Kendrick III, is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Charles Kendrick's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2019 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 501 Commerce Street, Nashville, TN 37203April 28, 2015 - June 18, 2019
NEUBERGER BERMAN BD LLC
January 3, 2013 - April 23, 2015
STEBEN & COMPANY, LLC
April 29, 2009 - November 16, 2012
PROFUNDS DISTRIBUTORS, INC.
May 29, 2008 - November 18, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
June 4, 2007 - November 11, 2008
RIVERSOURCE DISTRIBUTORS, INC.
January 22, 2003 - May 7, 2007
GUGGENHEIM DISTRIBUTORS, LLC
January 2, 1996 - November 25, 1998
CIBC WORLD MARKETS CORP.
October 22, 1991 - December 31, 1995
LADENBURG THALMANN & CO. INC.
February 14, 1991 - July 10, 1991
CASTLE SECURITIES CORP.
January 23, 1991 - March 5, 1991
HASAN GROWNEY CO. INC.
October 1, 1990 - February 27, 1991
LEGEND MERCHANT GROUP, INC.
May 22, 1990 - June 25, 1992
VANDERBILT SECURITIES, 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
FINRA
Current Firm
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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