Richard Prim
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 Prim, who also goes by Rich Prim Jr, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1999. Richard had worked at 3 firms and has passed the Series 63, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2006 - July 20, 2011
NELSONREID, INC.
February 16, 2006 - March 20, 2006
NELSONREID, INC.
December 3, 2003 - August 4, 2004
LARADORBECKER SECURITIES CORPORATION
September 2, 1999 - August 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 1999 - August 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NELSONREID, INC.
CRD#: 45503 / SEC#: , 8-51060
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
