Richard M. Bosworth
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 Martin Bosworth was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2007 - November 3, 2014
INVESTORS CAPITAL CORP.
January 29, 2003 - March 14, 2005
NATIONWIDE SECURITIES, LLC
January 23, 1996 - December 31, 2001
NATIONWIDE SECURITIES, LLC
March 30, 1992 - February 4, 1993
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 13, 1989 - December 19, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 13, 1989 - December 19, 1989
PRUCO SECURITIES, LLC.
October 28, 1986 - September 5, 1989
VP DISTRIBUTORS LLC
April 12, 1985 - September 12, 1986
MML INVESTORS SERVICES, LLC
April 11, 1974 - September 16, 1986
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
November 29, 1971 - December 19, 1973
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Series 1
Date: 8/5/1969
Registered Representative ExaminationCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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