Richard W. Simpson
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 Walter Simpson, who also goes by Rick Simpson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - January 22, 2010
FIRST CALIFORNIA SECURITIES
September 18, 2009 - January 7, 2010
HOMESTEAD FINANCIAL, INC.
February 27, 1999 - December 13, 2004
INTRA NETWORK SECURITIES, INC.
September 30, 1994 - November 13, 1995
WEST AMERICA SECURITIES CORP
October 20, 1993 - July 22, 1994
SUTRO & CO. INCORPORATED
May 3, 1993 - August 17, 1993
PRUDENTIAL EQUITY GROUP, LLC
October 5, 1992 - May 14, 1993
LEHMAN BROTHERS INC.
July 20, 1992 - January 14, 1993
H.J. MEYERS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST CALIFORNIA SECURITIES
CRD#: 23683 / SEC#: , 8-40571
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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