Richard J. Huntley
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 James Huntley was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1964. Richard had worked at 6 firms and has passed the Series 63, Series 1, Series 24, Series 39 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 1982 - August 20, 1986
STEVENS COURT CAPITAL CORPORATION
January 2, 1975 - April 8, 1982
PIPER SANDLER & CO.
March 27, 1974 - October 6, 1974
REYNOLDS SECURITIES, INC.
August 17, 1973 - March 28, 1974
DUPONT WALSTON, INCORPORATED
November 20, 1969 - July 7, 1973
THE MILWAUKEE COMPANY
December 18, 1964 - November 10, 1971
J. W. SPARKS & 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
Exams
Series 1
Date: 12/18/1959
Registered Representative ExaminationSeries 40
Date: 2/11/1971
Registered Principal ExaminationCurrent Firm
STEVENS COURT CAPITAL CORPORATION
CRD#: 11037 / SEC#: , 8-28105
Contact information
Documents
Red Flags
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