Richard A. Kerns
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 Arnold Kerns was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1972. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 1 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
November 12, 2002 - January 3, 2005
MARINER WEALTH ADVISORS
July 24, 2000 - October 23, 2002
SECURITIES AMERICA ADVISORS, INC.
June 28, 2000 - October 22, 2002
SECURITIES AMERICA, INC.
December 11, 1997 - June 26, 2000
SUNSET FINANCIAL SERVICES, INC.
March 24, 1994 - December 10, 1997
1717 CAPITAL MANAGEMENT COMPANY
June 1, 1992 - April 7, 1994
WWK INVESTMENTS, INC.
December 18, 1972 - June 1, 1992
TOUCHSTONE SECURITIES, INC.
May 18, 1972 - November 21, 1972
METROPOLITAN LIFE INSURANCE COMPANY
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: 5/12/1972
Registered Representative ExaminationCurrent Firm
MARINER WEALTH ADVISORS
CRD#: 109904 / SEC#: 801-60238
Contact information
Red Flags
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