Richard K. Rainier
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 King Rainier was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 41, Series 1, Series 4, Series 53 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2007 - January 4, 2013
SUMMIT ADVISORS, LLC
March 5, 1984 - January 3, 2013
BEACONSFIELD FINANCIAL SERVICES, INC.
November 28, 1983 - February 21, 1984
FINANCIAL ESTATE PLANNING, INC.
February 18, 1981 - October 4, 1983
R.C. TOWNE, INC.
July 21, 1980 - February 1, 1981
LEHMAN BROTHERS INC.
December 11, 1979 - August 7, 1980
AMERICAN INVESTORS OF PITTSBURGH, INC.
June 16, 1978 - December 23, 1979
A. G. EDWARDS & SONS, INC.
March 9, 1978 - June 19, 1978
BERNSTEIN AND COMPANY
September 21, 1971 - March 3, 1978
BABBITT, MYERS & COMPANY, INC.
January 14, 1970 - October 14, 1971
PARKER/HUNTER 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
Series 41
Date: 8/6/1973
NYSE Allied Member ExaminationSeries 1
Date: 3/19/1968
Registered Representative ExaminationSeries 40
Date: 8/6/1973
Registered Principal ExaminationCurrent Firm
SUMMIT ADVISORS, LLC
CRD#: 144486 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 173 |
| AUM (Assets Under Management) | $ 77,800,001 |
Red Flags
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