Rick L. Burnett
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2001 - December 14, 2001
BRECEK & YOUNG ADVISORS, INC.
April 26, 1999 - December 31, 1999
EQUITAS AMERICA, LLC
August 4, 1995 - December 23, 1998
AMERICAN GENERAL EQUITY SERVICES CORPORATION
April 22, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 22, 1991 - August 17, 1995
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
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