Richard J. Price
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 James Price, who also goes by Dick Price, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2011 - November 9, 2012
I-BANKERS SECURITIES, INC.
February 27, 2009 - May 13, 2011
HUDSON SECURITIES,INC.
March 6, 2003 - April 21, 2009
WESTMINSTER SECURITIES CORPORATION
February 6, 2002 - March 3, 2003
B. RILEY WEALTH MANAGEMENT
November 28, 2001 - March 3, 2003
B. RILEY WEALTH MANAGEMENT
October 26, 2000 - December 3, 2001
J. MICHAEL-PATRICK, L.L.C.
January 6, 2000 - June 7, 2000
MOSES.COM SECURITIES, INC.
December 23, 1999 - June 19, 2000
HUNTLEIGH SECURITIES CORPORATION
September 24, 1997 - December 14, 1999
J. MICHAEL-PATRICK, L.L.C.
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 55
Date: 2/13/2003
Limited Representative-Equity Trader ExamCurrent Firm
I-BANKERS SECURITIES, INC.
CRD#: 41352 / SEC#: , 8-49385
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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