Richard J. Floress
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 Floress, who also goes by Rick Floress, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 52, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2014 - February 9, 2017
BSP SECURITIES, LLC
May 5, 2008 - February 1, 2017
EDGE ADVISORS, LLC
May 5, 2008 - February 1, 2017
EHCP CORPORATE FINANCE, LLC
January 22, 2003 - May 6, 2008
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - May 6, 2008
CREDIT SUISSE SECURITIES (USA) LLC
November 25, 2002 - January 17, 2003
PERSHING LLC
January 1, 1996 - November 20, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 23, 1995 - November 29, 1995
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 6/2/1998
Foreign Currency Options ExaminationSeries 5
Date: 5/4/1998
Interest Rate Options ExaminationSeries 8
Date: 10/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BSP SECURITIES, LLC
CRD#: 156936 / SEC#: , 8-68822
Contact information
Documents
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.
