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RM

Richard J. Makin

Some features on this profile are disabled
CRD#: 2346153
RM

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 John Makin, who also goes by Richard John Makin Jr, Richard Makin, Rick Makin, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard John Makin Jr | Richard Makin | Rick Makin

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

April 21, 2018 - February 11, 2021

PARKMAN WHALING SECURITIES LLC

BD
CRD#: 145342
HOUSTON, TX
Past

October 26, 2011 - October 31, 2017

RIVINGTON SECURITIES, LLC

BD
CRD#: 120689
HOUSTON, TX
Past

June 20, 2008 - October 5, 2011

GE CAPITAL MARKETS, INC.

BD
CRD#: 13349
BOSTON, MA
Past

December 9, 2006 - February 6, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 1, 2004 - January 11, 2007

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
BOSTON, MA
Past

September 5, 2000 - April 1, 2004

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

July 1, 1998 - March 2, 1999

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

June 25, 1998 - September 5, 2000

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

November 6, 1995 - July 1, 1998

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

July 19, 1995 - November 6, 1995

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

BD
CRD#: 31797
Past

August 10, 1993 - May 12, 1995

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY

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: 2/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/9/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/6/1999
General Securities Principal Examination

Current Firm

PW
PARKMAN WHALING SECURITIES LLC
PARKMAN WHALING SECURITIES LLC

CRD#: 145342 / SEC#: , 8-67723

BD
Terminated by SEC on 11/10/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 06/19/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAMPBELL, BRUCE EMERSON IIICHIEF COMPLIANCE OFFICER5459992

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.

Company Information

PARKMAN WHALING SECURITIES LLC

CRD#: 145342

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