Richard W. Tittle
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 William Tittle was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2013 - September 8, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 4, 2010 - July 29, 2011
FIFTH THIRD SECURITIES, INC.
March 4, 2010 - July 29, 2011
FIFTH THIRD SECURITIES, INC.
September 27, 2007 - March 10, 2009
U.S. BANCORP INVESTMENTS, INC.
September 27, 2007 - March 10, 2009
U.S. BANCORP INVESTMENTS, INC.
January 26, 2006 - September 24, 2007
VISION ASSET MANAGEMENT INC
January 26, 2006 - September 24, 2007
VISION INVESTMENT SERVICES, INC.
July 6, 2005 - January 25, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - January 25, 2006
CHASE INVESTMENT SERVICES CORP.
February 26, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 26, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 8, 2003 - February 23, 2004
AMERIPRISE ADVISOR SERVICES, INC.
September 9, 2002 - February 23, 2004
AMERIPRISE ADVISOR SERVICES, INC.
October 1, 1999 - July 11, 2002
BANC ONE SECURITIES CORPORATION
July 31, 1996 - September 21, 1999
WS GRIFFITH SECURITIES, INC.
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
