Richard A. Matthews
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 Allen Matthews, who also goes by Dick Matthews, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 7 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2007 - November 7, 2024
RM INVESTMENT ADVISORY SERVICES, LLC
December 5, 1995 - July 8, 1999
VOYA FINANCIAL ADVISORS, INC.
July 18, 1989 - December 12, 1995
ROYAL MACCABEES SECURITIES COMPANY
December 23, 1988 - January 19, 1989
B.C. CHRISTOPHER SECURITIES CO.
July 21, 1987 - December 23, 1988
MORISON SECURITIES, INC.
October 20, 1980 - September 9, 1987
EQUITABLE ADVISORS, LLC
December 24, 1973 - September 2, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Exams
Series 1
Date: 12/13/1973
Registered Representative ExaminationCurrent Firm
RM INVESTMENT ADVISORY SERVICES, LLC
CRD#: 122619 / SEC#:
Contact information
Red Flags
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