Richard P. Williams
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 Peter Williams JR, who also goes by Rick Williams, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 1999 - August 3, 1999
LLOYD WADE SECURITIES INC.
June 18, 1999 - August 11, 2000
INSTITUTIONAL EQUITY CORPORATION
April 28, 1997 - May 20, 1999
LLOYD WADE SECURITIES INC.
January 21, 1997 - March 25, 1997
ARGENT SECURITIES, INC.
December 11, 1996 - December 31, 1996
LLOYD WADE SECURITIES INC.
March 1, 1996 - November 27, 1996
EURO-ATLANTIC SECURITIES INC.
August 30, 1995 - March 7, 1996
QUANTUM GROUP, LTD.
May 10, 1995 - August 29, 1995
LT LAWRENCE & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LLOYD WADE SECURITIES INC.
CRD#: 39653 / SEC#: , 8-48781
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 6 |
Red Flags
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