Richard D. Briach
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 David Briach, who also goes by Richard Briach, Rick Briach, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2011 - August 14, 2012
FORTUNE FINANCIAL SERVICES, INC.
April 9, 2007 - June 17, 2010
KEY INVESTMENT SERVICES LLC
February 28, 2007 - June 17, 2010
KEY INVESTMENT SERVICES LLC
December 1, 2005 - August 11, 2006
CITIZENS SECURITIES, INC.
June 2, 2005 - December 1, 2005
CHARTER ONE SECURITIES, INC.
April 15, 2003 - January 30, 2004
QUESTAR CAPITAL CORPORATION
January 4, 1999 - December 31, 2002
MIDSOUTH CAPITAL, INC.
January 3, 1995 - December 31, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 15, 1994 - December 31, 1994
FIRST ALLIED SECURITIES, INC.
October 14, 1993 - December 16, 1994
FIRST AFFILIATED SECURITIES
October 8, 1993 - October 15, 1993
OSAIC WEALTH, INC.
December 15, 1992 - October 14, 1993
FIRST AFFILIATED SECURITIES
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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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