Richard J. Charette
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 Joseph Charette, who also goes by Rich Joseph Charette Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 9, Series 10 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
August 8, 2011 - February 27, 2012
MORGAN KEEGAN & COMPANY, LLC
August 5, 2011 - February 27, 2012
MORGAN KEEGAN & COMPANY, LLC
September 2, 2010 - February 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 31, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
May 1, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 30, 2004 - May 25, 2006
UBS FINANCIAL SERVICES INC.
June 30, 2004 - May 25, 2006
UBS FINANCIAL SERVICES INC.
June 16, 1999 - June 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 1999 - June 29, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 1998 - March 5, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1997 - March 3, 1998
MERIT CAPITAL ASSOCIATES, INC.
July 29, 1997 - August 20, 1997
JOSEPH DILLON & COMPANY INC.
May 2, 1997 - July 31, 1997
CORTLANDT CAPITAL CORPORATION
November 11, 1996 - May 14, 1997
THE HAMILTON-SHEA GROUP, INC.
August 12, 1996 - October 18, 1996
JOSEPH ROBERTS & CO., INC.
June 3, 1996 - August 8, 1996
THE CAMELOT GROUP, INC.
April 23, 1996 - June 18, 1996
NATIONWIDE SECURITIES CORPORATION
June 15, 1995 - March 7, 1996
BILTMORE SECURITIES, INC.
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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
