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RB

Rick L. Burnett

Some features on this profile are disabled
CRD#: 2131056
RB

Professional summary

Rick Lynn Burnett was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rick is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Rick had worked at 5 firms, which includes BRECEK & YOUNG ADVISORS INC., EQUITAS AMERICA LLC, AMERICAN GENERAL EQUITY SERVICES CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 15, 2001 - December 14, 2001

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
FOLSOM, CA
Past

April 26, 1999 - December 31, 1999

EQUITAS AMERICA, LLC

BD
CRD#: 39806
FARMINGTON HILLS, MI
Past

August 4, 1995 - December 23, 1998

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX
Past

April 22, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

April 22, 1991 - August 17, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/20/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/24/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/18/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

B&
BRECEK & YOUNG ADVISORS, INC.
BRECEK & YOUNG ADVISORS, INC. | IRON POINT CAPITAL MANAGEMENT (IPCM) OR IRON POINT (IP) | IRON POINT CAPITAL MANAGEMENT

CRD#: 40395 / SEC#: 801-51940, 8-49022

BD
Terminated by SEC on 12/07/2009
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE- 03/30/2012 (3/30/2012)
FORM ADV PART 2- 03/30/2012 (3/30/2012)

Direct owners and executive officers

NamePositionCRD#
SECURITIES AMERICA FINANCIAL CORPORATIONHOLDING COMPANY
DEWALD, TERRANCE SHAWNSENIOR VP, GENERAL COUNSEL, SECRETARY3173980
HEENEY, JAMES MICHEALSENIOR VP, SALES SUPERVISION AND OPERATIONS3019122
MCWHORTER, STEVEN FORDCEO, DIRECTOR2130681
MILLER, KEVIN JOSEPHCHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER4133001
NAGENGAST, JAMES DELWYNDIRECTOR2571451
PARSONS, GAYLE ELIZABETHVP, TREASURER, FINOP2824340
RANNEY, CHRISTOPHER JOHNPRESIDENT, DIRECTOR1708781
WERTHEIM, PAMELA JANINEDIRECTOR1311477

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

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

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