Richard J. Makin
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2018 - February 11, 2021
PARKMAN WHALING SECURITIES LLC
October 26, 2011 - October 31, 2017
RIVINGTON SECURITIES, LLC
June 20, 2008 - October 5, 2011
GE CAPITAL MARKETS, INC.
December 9, 2006 - February 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2004 - January 11, 2007
BANC OF AMERICA SECURITIES LLC
September 5, 2000 - April 1, 2004
APEX CLEARING CORPORATION
July 1, 1998 - March 2, 1999
ABN AMRO SECURITIES LLC
June 25, 1998 - September 5, 2000
ROBERTSON STEPHENS, INC.
November 6, 1995 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
July 19, 1995 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
August 10, 1993 - May 12, 1995
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PARKMAN WHALING SECURITIES LLC
CRD#: 145342 / SEC#: , 8-67723
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL, BRUCE EMERSON III | CHIEF COMPLIANCE OFFICER | 5459992 |
Red Flags
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