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RB

Richard J. Buckton

GREAT PACIFIC SECURITIES
Incline Village, NV
Some features on this profile are disabled
CRD#: 2085032
RB

Professional summary

Richard James Buckton is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 James Buckton's 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

January 22, 2018 - Present

GREAT PACIFIC SECURITIES

BD
CRD#: 29251
Incline Village, NV
Past

September 20, 2010 - January 22, 2018

RH INVESTMENT CORPORATION

BD
CRD#: 13457
Incline Village, NV
Past

February 28, 2008 - September 8, 2010

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
LOS ANGELES, CA
Past

February 26, 2008 - September 8, 2010

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LOS ANGELES, CA
Past

March 17, 2003 - December 10, 2007

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
BEVERLY HILLS, CA
Past

March 17, 2003 - December 10, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
BEVERLY HILLS, CA
Past

January 3, 2003 - March 17, 2003

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
LOS ANGELES, CA
Past

January 3, 2003 - March 17, 2003

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

July 8, 1997 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA
CRD#: 630
LOS ANGELES, CA
Past

April 4, 1994 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

September 19, 1990 - December 4, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
Nevada
(4/19/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/1994
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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/22/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/20/2014
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC

Current Firm

GP
GREAT PACIFIC SECURITIES
GREAT PACIFIC FIXED INCOME SECURITIES, INC. | GREAT PACIFIC SECURITIES

CRD#: 29251 / SEC#: , 8-44398

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

Main Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Mailing Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Phone number
(714) 619-3000
Established
California since 09/01/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VINCK, CHRISTOPHER VINCENTPRINCIPAL OPERATING OFFICER2447335
VINCK, CHRISTOPHER VINCENTTRADING2447335
VINCK, CHRISTOPHER VINCENTCEO2447335
VINCK, CHRISTOPHER VINCENTCCO2447335
MORRISSEY, TERENCE LANDRYPRINCIPAL FINANCIAL OFFICER, FINOP, AND CFO5964634

Disclosures

Regulatory Event2

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

GREAT PACIFIC SECURITIES

CRD#: 29251Incline Village, NV

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