RM
Richard C. Merson
PIMCO INVESTMENTS
Denver, CO
Some features on this profile are disabled
CRD#: 2913022
RM
Professional summary
Richard Charles Merson, CFP®, who also goes by Richard C Merson, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Denver, Colorado.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard C Merson
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Charles Merson'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®
Experience
Current
May 5, 2017 - Present
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
Denver, CO
Past
December 6, 2011 - May 22, 2017
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
SAN MATEO, CA
Past
June 5, 1998 - November 28, 2011
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
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
Alabama(5/5/2017)
RR
Alaska(5/5/2017)
RR
Arizona(5/5/2017)
RR
Arkansas(5/5/2017)
RR
California(5/5/2017)
RR
Colorado(5/5/2017)
RR
Connecticut(5/5/2017)
RR
Delaware(5/5/2017)
RR
District of Columbia(5/5/2017)
RR
Florida(5/5/2017)
RR
Georgia(5/5/2017)
RR
Hawaii(5/5/2017)
RR
Idaho(5/5/2017)
RR
Illinois(5/5/2017)
RR
Indiana(5/5/2017)
RR
Iowa(5/5/2017)
RR
Kansas(5/5/2017)
RR
Kentucky(5/5/2017)
RR
Louisiana(5/5/2017)
RR
Maine(5/5/2017)
RR
Maryland(5/5/2017)
RR
Massachusetts(5/5/2017)
RR
Michigan(5/5/2017)
RR
Minnesota(5/5/2017)
RR
Mississippi(5/5/2017)
RR
Missouri(5/5/2017)
RR
Montana(5/5/2017)
RR
Nebraska(5/5/2017)
RR
Nevada(5/5/2017)
RR
New Hampshire(5/5/2017)
RR
New Jersey(5/5/2017)
RR
New Mexico(5/5/2017)
RR
New York(5/5/2017)
RR
North Carolina(5/5/2017)
RR
North Dakota(5/5/2017)
RR
Ohio(5/5/2017)
RR
Oklahoma(5/5/2017)
RR
Oregon(5/5/2017)
RR
Pennsylvania(5/5/2017)
RR
Puerto Rico(5/5/2017)
RR
Rhode Island(5/5/2017)
RR
South Carolina(5/5/2017)
RR
South Dakota(5/5/2017)
RR
Tennessee(5/5/2017)
RR
Texas(5/5/2017)
RR
Utah(5/5/2017)
RR
Vermont(5/5/2017)
RR
Virgin Islands(5/5/2017)
RR
Virginia(5/5/2017)
RR
Washington(5/5/2017)
RR
West Virginia(5/5/2017)
RR
Wisconsin(5/5/2017)
RR
Wyoming(5/5/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 776-1500
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| MURPHY, JORDAN MITCHELL | CHIEF COMPLIANCE OFFICER | 4221561 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
| WHITTEN, CANDICE STACK | MANAGER, BOARD OF MANAGERS | 4460452 |
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.
