Richard D. Husebo
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 Danze Husebo, who also goes by Dick Husebo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 10 firms and has passed the SIE, Series 1, F04 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
January 15, 2008 - March 29, 2016
MAXWELL SIMON, INC.
April 28, 1997 - January 11, 2008
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
November 21, 1996 - April 30, 1997
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
February 2, 1989 - October 17, 1996
MARCHE' SECURITIES, INC.
May 20, 1977 - December 12, 1988
FUNDAMENTAL EQUITIES CORP.
January 26, 1977 - June 6, 1977
MILLER JOHNSON STEICHEN KINNARD, INC.
December 13, 1976 - February 24, 1977
MARGOLIS & CO., INC.
June 3, 1974 - June 7, 1976
MIDWEST DISCOUNT SECURITIES, INC.
March 14, 1973 - February 25, 1974
MITCHUM, JONES & TEMPLETON INCORPORATED
September 1, 1971 - June 14, 1972
VP DISTRIBUTORS 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
Series 1
Date: 9/13/1962
Registered Representative ExaminationF04
Date: 6/27/1974
Financial Principal ExaminationSeries 40
Date: 6/27/1968
Registered Principal ExaminationCurrent Firm
MAXWELL SIMON, INC.
CRD#: 12667 / SEC#: , 8-22712
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MSRJG HOLDINGS, LLC | PARENT COMPANY | |
| GOODMANSON, ROBERT JOSEPH | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 726865 |
Disclosures
| Regulatory Event | 3 |
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.
