Richard David Reddock
Professional Summary
Richard David Reddock, who also goes by Richard D Reddock, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1971 - 2002. Richard had worked at 5 firms and has passed the Series 63, PC, Series 18, Series 000, Series 1 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard D Reddock
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
60 years in the financial services industry
Current & Past Employments
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Current Firm
GLOBAL ASSET MANAGEMENT | PROFESSIONAL ASSET MANAGEMENT | GRUNTAL MANAGED ACCOUNTS | GRUNTAL FOCUS ADVISORS | GRUNTAL & CO., L.L.C. | GRUNTAL & CO. INCORPORATED | GRUNTAL & CO.
Contact Information
Established
Delaware since 03/04/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | — |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | — |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
Regulatory Event
34Arbitration
81Bond
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jun 1980Series 18 — Securities Industry Rules and Regulations Examination
Passed Oct 1975Series 000 — General Securities Principal Examination
Passed Jan 1966Series 1 — Registered Representative Examination
Passed Jan 1966Series 00 — General Securities Principal Examination
Passed Feb 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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