Richard C. Meek
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 Charles Meek, who also goes by Richard Charles Meek, Rich Charles Meek, Rich Meek, Richard Charles Meek Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2022 - April 17, 2024
J.P. MORGAN SECURITIES LLC
October 17, 2022 - April 17, 2024
J.P. MORGAN SECURITIES LLC
October 8, 2020 - August 4, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 18, 2020 - August 4, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 8, 2020 - August 20, 2020
USAA INVESTMENT SERVICES COMPANY
March 9, 2020 - August 20, 2020
USAA INVESTMENT SERVICES COMPANY
March 9, 2020 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
May 11, 2018 - November 18, 2019
HARRISDIRECT LLC
May 11, 2018 - November 18, 2019
E*TRADE SECURITIES LLC
May 10, 2016 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
May 10, 2016 - March 8, 2018
SCOTTRADE, INC.
May 16, 2006 - March 28, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 22, 2004 - March 28, 2016
TD AMERITRADE, INC.
October 22, 2004 - March 28, 2016
TD AMERITRADE, INC.
August 12, 2004 - October 1, 2004
BANC ONE SECURITIES CORPORATION
August 26, 2003 - August 18, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
February 21, 2003 - June 11, 2003
E*TRADE ADVISORY SERVICES, INC.
February 21, 2003 - June 11, 2003
E*TRADE SECURITIES LLC
February 14, 2003 - February 26, 2003
SECURITIES AMERICA, INC.
October 9, 2002 - November 7, 2002
E*TRADE ADVISORY SERVICES, INC.
October 8, 2002 - November 7, 2002
E*TRADE SECURITIES LLC
May 15, 1995 - August 28, 2002
FIDELITY BROKERAGE SERVICES LLC
February 17, 1995 - May 15, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
April 25, 1994 - February 17, 1995
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Series 8
Date: 12/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
