Richard E. Holliday
Professional summary
Richard Edward Holliday 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 advisor and started their career in finance in 1993. Prior to being barred, Richard had worked at 7 firms, which includes THE INVESTMENT CENTER INC., SPIRE SECURITIES LLC, AMERICAN SECURITIES GROUP INC., MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., J.C. BRADFORD & CO., WACHOVIA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2012 - February 7, 2014
THE INVESTMENT CENTER, INC.
October 15, 2009 - October 1, 2012
SPIRE SECURITIES, LLC
July 13, 2009 - October 15, 2009
AMERICAN SECURITIES GROUP, INC.
June 1, 2009 - July 23, 2009
MORGAN STANLEY
June 1, 2009 - July 23, 2009
MORGAN STANLEY
June 2, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 8, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 28, 1996 - May 8, 1998
J.C. BRADFORD & CO.
June 14, 1996 - July 3, 1996
WACHOVIA SECURITIES, INC.
July 15, 1993 - June 25, 1996
J.C. BRADFORD & CO.
State Registrations and Notice Filings
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Exams
Current Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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