Richard A. Gillis
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 Andrew Gillis was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 8 firms and has passed the Series 63, Series 1, Series 24, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 1994 - November 25, 2015
CAPITAL PROGRAMS ADVISORY CORP
January 1, 1989 - December 31, 1991
VOYA FINANCIAL ADVISORS, INC.
April 6, 1984 - November 24, 1987
MONARCH SECURITIES, INC.
May 18, 1982 - February 17, 2012
ZIV INVESTMENT COMPANY
March 17, 1980 - July 25, 1983
ZIV INVESTMENT COMPANY
June 11, 1975 - April 24, 1980
INTEGRATED RESOURCES EQUITY CORPORATION
December 4, 1974 - July 23, 1975
CAPITAL SHELTERED INVESTMENTS, INCORPORATED
November 16, 1971 - April 7, 1978
FIRST NATION SECURITIES INCORPORATED
August 26, 1969 - November 21, 1971
ALM, KANE, ROGERS & CO.
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 1
Date: 12/26/1968
Registered Representative ExaminationF04
Date: 6/28/1974
Financial Principal ExaminationSeries 00
Date: 6/21/1974
General Securities Principal ExaminationCurrent Firm
CAPITAL PROGRAMS ADVISORY CORP
CRD#: 110824 / SEC#: 801-21753
Contact information
Red Flags
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