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RV

Richard A. Vest

FALCON SQUARE CAPITAL
RALEIGH, NC 27607
Some features on this profile are disabled
CRD#: 2731387
RV

Professional summary

Richard Allen Vest is a registered financial professional currently at FALCON SQUARE CAPITAL, LLC located in Raleigh, North Carolina.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Allen Vest's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 22, 2020 - Present

FALCON SQUARE CAPITAL, LLC

Office #1: 3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
BD
CRD#: 165225
RALEIGH, NC
Past

November 15, 2019 - March 16, 2020

FINANCE 500, INC.

BD
CRD#: 12981
IRVINE, CA
Past

July 7, 2014 - October 21, 2019

ACADEMY SECURITIES, INC.

BD
CRD#: 17433
NEW YORK, NY
Past

September 11, 2012 - July 15, 2014

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
CHAPEL HILL, NC
Past

July 28, 2008 - September 11, 2012

CANTOR FITZGERALD & CO.

BD
CRD#: 134
LOS ANGELES, CA
Past

December 9, 1999 - August 25, 2006

ICBA SECURITIES

BD
CRD#: 24088
FT. LAUDERDALE, FL
Past

October 21, 1998 - August 25, 2006

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
FORT LAUDERDALE, FL
Past

June 28, 1996 - October 21, 1998

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/22/2020)
RR
New York
(4/22/2020)
RR
North Carolina
(4/22/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FALCON SQUARE CAPITAL, LLC
FALCON SQUARE CAPITAL, LLC | HCG

CRD#: 165225 / SEC#: , 8-69147

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
Mailing Address
3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
Phone number
(919) 825-1534
Established
North Carolina since 04/02/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PENDERGRASS, MELISSA JOINESCEO, CFO, CCO5392765
CUNNINGHAM, SCOTT LINDSAYMEMBER4829676
WALL, BRAXTON CRAVENMEMBER5557276
WRIGHT, KEATON THOMASMEMBER5703087
PORTWOOD, WILLIAM BOYCEFINOP4853700

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.

Company Information

FALCON SQUARE CAPITAL, LLC

CRD#: 165225Raleigh, NC 27607

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