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For Advisors
RP

Richard L. Prann

STONECREST CAPITAL MARKETS
SAN JUAN, PR 00907
Some features on this profile are disabled
CRD#: 2066950
RP

Professional summary

Richard Lee Prann, who also goes by Richard Lee Parann, is a registered financial professional currently at STONECREST CAPITAL MARKETS, INC. located in San Juan, .

Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 8 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 53, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Lee Parann

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Lee Prann's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 13, 2019 - Present

STONECREST CAPITAL MARKETS, INC.

Office #1: 1369 Ashford Avenue Ac Hotel Mezzanine Level, San Juan, PR 00907
BD
CRD#: 39616
SAN JUAN, PR
Past

September 13, 2013 - August 14, 2019

HERBERT J. SIMS & CO, INC.

BD
CRD#: 3420
GUAYNABO, PR
Past

August 9, 2013 - October 11, 2013

ORIENTAL FINANCIAL SERVICES LLC

BD
CRD#: 29753
SAN JUAN, PR
Past

April 11, 2005 - August 8, 2013

OFS SECURITIES, INC.

BD
CRD#: 39615
HATO REY, PR
Past

October 15, 1999 - April 11, 2005

SAMUEL A. RAMIREZ & COMPANY, INC.

BD
CRD#: 6963
NEW YORK, NY
Past

January 23, 1995 - November 3, 1997

CLARK MELVIN SECURITIES CORPORATION

BD
CRD#: 1462
HATO REY, PR
Past

September 12, 1994 - March 14, 1996

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

BD
CRD#: 13042
HATO REY, PR
Past

May 25, 1993 - November 26, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(4/22/2021)
RR
New York
(3/27/2020)
RR
Puerto Rico
(8/30/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/30/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/17/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/12/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/4/2001
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STONECREST CAPITAL MARKETS, INC.
REDWINE & COMPANY, INC. | STONECREST PARTNERS | STONECREST CAPITAL MARKETS, INC.

CRD#: 39616 / SEC#: , 8-48754

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
300 W. 6th St. Suite 1550, Austin, TX 78701
Mailing Address
300 W. 6th St. Suite 1550, Austin, TX 78701
Phone number
(512) 275-6515
Established
North Carolina since 10/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONECREST HOLDINGS, LLCPARENT COMPANY
HEFFRON, PAULA KAYCHIEF COMPLIANCE OFFICER4901921
JONES, DAVID BENNETT JRCHIEF OPERATING OFFICER4915605
KRIEWALD, JESSICAFINOP7052634
RANDOLPH, JOHN SCOTTCHIEF EXECUTIVE OFFICER1848519
WEIBEL, DAVIDDIRECTOR5688056

Disclosures

Regulatory Event5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

STONECREST CAPITAL MARKETS, INC.

CRD#: 39616San Juan, PR 00907

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