Richard C. Emerson
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 Charles Emerson, who also goes by Richard Emerson, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1993. Richard had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2007 - May 8, 2013
INVESTORS CAPITAL CORP.
March 27, 2007 - May 8, 2013
INVESTORS CAPITAL CORP.
June 16, 2005 - March 26, 2007
CANTELLA & CO., INC.
June 15, 2005 - March 26, 2007
CANTELLA & CO., INC.
February 22, 2005 - June 17, 2005
GUNNALLEN FINANCIAL, INC
January 5, 2005 - June 17, 2005
GUNNALLEN FINANCIAL, INC
May 11, 1993 - January 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1993 - January 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
