Richard B. Jennings
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 Baker Jennings was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 4 firms and has passed the Series 63, Series 24 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
July 5, 1995 - October 24, 2006
JENNINGS SECURITIES LLC
September 23, 1991 - December 10, 1992
BMO CAPITAL MARKETS CORP.
March 7, 1988 - October 21, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 28, 1971 - August 21, 1986
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 5/24/1971
Registered Principal ExaminationCurrent Firm
JENNINGS SECURITIES LLC
CRD#: 37651 / SEC#: , 8-47879
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JENNINGS, RICHARD BAKER | PRESIDENT | 258212 |
| JENNINGS, RICHARD BAKER | CHIEF COMPLIANCE OFFICER |
Disclosures
| Regulatory Event | 1 |
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.
