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Richard D. Carter

Some features on this profile are disabled
CRD#: 2255043
RC

Professional summary

Richard Dean Carter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Richard had worked at 8 firms, which includes NATIONAL SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, TRADEPORTAL SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, CIBC WORLD MARKETS CORP., RODMAN & RENSHAW INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 29, 2003 - June 3, 2004

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

July 25, 2001 - August 12, 2003

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

January 23, 1997 - January 9, 1998

TRADEPORTAL SECURITIES, INC.

BD
CRD#: 25001
ALISO VIEJO, CA
Past

December 11, 1995 - October 18, 1996

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 18, 1993 - January 3, 1996

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

November 10, 1992 - May 28, 1993

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL
Past

August 17, 1992 - October 6, 1992

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 17, 1992 - October 6, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/2001
General Securities Representative Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

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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Company Information

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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