Richard S. Trause
Professional summary
Richard Scott Trause, who also goes by Rick Trause, is a registered financial professional currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 5 firms and has passed the Series 63, Series 65, Series 66, Series 6TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Scott Trause's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2023 - Present
ALLIANCE-ONE INVESTMENTS, LLC
Office #1: 4000 N Mingo Rd, Tulsa, OK 74116April 13, 2006 - October 18, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 1994 - December 31, 1994
OSAIC WEALTH, INC.
October 23, 1991 - December 7, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 1991 - September 26, 1991
RICKEL & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 5/24/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
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
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025Tulsa, OK 74116TRUST BUT VERIFY
Monitor Richard Trause
Get automatic monthly alerts on:
