Richard Joseph Floress
Professional Summary
Richard Joseph Floress, who also goes by Rick Floress, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1995 - 2017. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Floress
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
BSP SECURITIES, LLC
Contact Information
Established
Georgia since 09/15/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILDING, DAVID FLOYD | GENERAL COUNSEL/CCO | 2400287 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Jun 1998Series 5 — Interest Rate Options Examination
Passed May 1998Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1997Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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