Richard D. Clopton
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 Dale Clopton, who also goes by Rick Clopton, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
December 10, 2008 - October 28, 2022
SYMPHONIC FINANCIAL ADVISORS LLC
December 10, 2008 - October 28, 2022
SYMPHONIC SECURITIES LLC
March 3, 2005 - December 31, 2008
1ST GLOBAL ADVISORS INC
February 17, 2005 - December 31, 2008
1ST GLOBAL CAPITAL CORP.
September 5, 2003 - February 17, 2005
LPL FINANCIAL LLC
September 5, 2003 - February 17, 2005
LPL FINANCIAL LLC
October 4, 2002 - September 8, 2003
HILLTOP SECURITIES INC.
September 16, 2002 - September 8, 2003
HILLTOP SECURITIES INC.
February 18, 1999 - September 20, 2002
CETERA ADVISORS LLC
February 18, 1999 - September 20, 2002
CETERA ADVISORS LLC
February 18, 1994 - February 16, 1999
1ST GLOBAL CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SYMPHONIC FINANCIAL ADVISORS LLC
CRD#: 135603 / SEC#: 801-64456
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,234 |
| AUM (Assets Under Management) | $ 125,189,685 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 09/28/2022 | ||
| 11/29/2021 |
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.
