Ronald F. Richards
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.
Ronald Farley Richards was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2001. Ronald had worked at 4 firms and has passed the Series 63, Series 79, Series 7 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
April 2, 2013 - July 15, 2014
FINANCIAL TELESIS INC
December 19, 2011 - January 10, 2013
MERRIMAN CAPITAL, INC.
December 14, 2004 - February 18, 2005
RMG PARTNERS
January 14, 2003 - April 8, 2003
SHORELINE PACIFIC, LLC
July 6, 2001 - January 7, 2003
SHORELINE PACIFIC, LLC
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
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
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.
