Tarek B. Richey
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.
Tarek Buasuwan Richey was a registered financial professional .
Tarek is a previously registered financial professional and started their career in finance in 1999. Tarek had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2008 - February 2, 2018
QUESTAR ASSET MANAGEMENT, INC.
October 24, 2008 - February 2, 2018
QUESTAR CAPITAL CORPORATION
May 7, 2004 - October 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 1, 2001 - October 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 6, 1999 - May 16, 2001
SUNAMERICA SECURITIES, INC.
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
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
