Richard James Price
Professional Summary
Richard James Price, who also goes by Dick Price, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1997 - 2012. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 86, Series 87, Series 16, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dick Price
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
I-BANKERS SECURITIES, INC. | MILLENNIUM FINANCIAL GROUP, INC. | IBS HOLDING CORPORATION
Contact Information
Main Address
1200 N Federal Hwy Suite 215, Boca Raton, FL 33432Mailing Address
1200 N Federal Hwy Suite 215, Boca Raton, FL 33432Phone Number
(817) 980-9034Established
Texas since 06/06/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2005About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Feb 2003Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2003About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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