Richard Michael Budwee Jr
Professional Summary
Richard Michael Budwee JR, who also goes by Rick Budwee, was a registered financial advisor. Richard was a previously registered financial advisor and started their career in finance 1994 - 2010. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Budwee
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
BURTON, BUSBY & CO., INC. | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADV | LEVEL FOUR FINANCIAL, LLC | LEVEL FOUR FINANCIAL | J.ROE BURTON & CO. INC. | J. ROE BURTON & CO. INC. | HARBOR FINANCIAL SERVICES, LLC | HARBOR FINANCIAL SERVICES | HARBOR FINANCIAL
Contact Information
Main Address
12400 Coit Road 11 North Water Street, Ste 21290, Mobile, AL 36602Mailing Address
12400 Coit Road Suite 700, Dallas, TX 75251Phone Number
(866) 834-1040Established
Alabama since 01/22/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
7Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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