Richard J. Blooston
Professional summary
Richard James Blooston is a registered financial professional currently at FELTL & COMPANY located in Plymouth, Minnesota.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1966. Richard has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard James Blooston's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2009 - Present
FELTL & COMPANY
Office #1: One Carlson Parkway North Suite 225, Plymouth, MN 55447December 16, 2004 - November 13, 2009
RBC CAPITAL MARKETS, LLC
November 14, 2000 - December 14, 2004
MORGAN STANLEY DW INC.
January 31, 1989 - November 24, 2000
PIPER SANDLER & CO.
January 23, 1974 - February 6, 1989
CRAIG-HALLUM, INC.
January 6, 1972 - February 28, 1974
DICKINSON & CO.
November 21, 1966 - January 29, 1972
JOHN G KINNARD & CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/12/2009)
(11/12/2009)
(6/2/2010)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 4/1/1977
AMEX Put and Call ExamSeries 1
Date: 11/15/1966
Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
