Byron M. Riddle
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.
Byron Michael Riddle, who also goes by Putt Riddle, was a registered financial professional .
Byron is a previously registered financial professional and started their career in finance in 1970. Byron had worked at 10 firms and has passed the Series 63, Series 7, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1999 - December 2, 2004
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 18, 1994 - January 7, 2000
SIGNAL SECURITIES, INC.
August 17, 1992 - December 31, 1993
SIGNAL SECURITIES, INC.
January 9, 1990 - August 10, 1992
TEXAS SECURITIES, INC.
June 14, 1988 - December 15, 1989
VAUTRAIN NELSON LEFEVRE, ENDSLEY AND DURHAM, INC.
February 27, 1987 - October 2, 1989
SKIDMORE, RIDDLE, BLANCHARD & DOYLE SECURITIES, INC.
October 23, 1985 - October 26, 1987
FIRST SECURITIES CORPORATION OF THE SOUTHWEST
March 15, 1983 - December 27, 1984
SCHNEIDER, BERNET & HICKMAN, INC.
February 4, 1982 - March 21, 1983
PRINCIPAL FINANCIAL SECURITIES,INC.
March 30, 1981 - February 10, 1982
THOMSON MCKINNON SECURITIES INC.
March 14, 1979 - April 3, 1981
MORGAN STANLEY DW INC.
March 26, 1970 - October 30, 1977
PRINCIPAL FINANCIAL 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
Series 1
Date: 11/13/1964
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
