Richard Barto Mccain
Professional Summary
Richard Barto Mccain, who also goes by Bart Mccain, Richard B. Mccain, is a registered financial advisor currently at DOO FINANCIAL US, INC. located in Fort Worth, Texas. Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 9, Series 10, Series 27...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bart Mccain, Richard B. Mccain
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Videos & Posts
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Contact Information
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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.
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.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
DOO FINANCIAL US, INC. | PETER ELISH INVESTMENTS SECURITIES | PETER ELISH | ELISH & ELISH INC. | ELISH & ELISH BROKERAGE AND RESEARCH CO.
Contact Information
Main Address
5049 Edwards Ranch Road Ste 400, Fort Worth, TX 76109Mailing Address
5049 Edwards Ranch Road Ste 400, Fort Worth, TX 76109Phone Number
(214) 385-2801Established
Pennsylvania since 05/22/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2002About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2002About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Barto Mccain's CRS (Customer Relationship Summary).
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