Richard F. Reynolds
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 Foerster Reynolds was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 8 firms and has passed the Series 63, SIE, 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
April 5, 2021 - September 14, 2022
SW FINANCIAL
January 12, 2016 - April 12, 2021
WORDEN CAPITAL MANAGEMENT LLC
March 5, 2012 - December 2, 2015
ROCKWELL GLOBAL CAPITAL LLC
July 5, 2005 - April 10, 2010
AMERICAN CAPITAL PARTNERS, LLC
April 17, 2001 - July 29, 2005
JANNEY MONTGOMERY SCOTT LLC
March 6, 1995 - April 25, 2001
GRUNTAL & CO., L.L.C.
December 23, 1994 - March 24, 1995
RICKEL & ASSOCIATES, INC.
October 15, 1991 - December 23, 1994
SOUTH RICHMOND SECURITIES, 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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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