Richard James Buckton
Professional Summary
Richard James Buckton is a registered financial advisor currently at GREAT PACIFIC SECURITIES located in Incline Village, Nevada. Richard is registered as a RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
GREAT PACIFIC FIXED INCOME SECURITIES, INC. | GREAT PACIFIC SECURITIES
Contact Information
Main Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626Mailing Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626Phone Number
(714) 619-3000Established
California since 09/01/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/19/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard James Buckton's CRS (Customer Relationship Summary).
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