Richard B. Mccain
Professional summary
Richard Barto Mccain, who also goes by Bart Mccain, Richard B. Mccain, is a registered financial professional 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 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Barto Mccain's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2021 - Present
DOO FINANCIAL US, INC.
Office #1: 5049 Edwards Ranch Road Ste 400, Fort Worth, TX 76109March 17, 2015 - January 5, 2021
WOODROCK SECURITIES, L.P.
June 14, 2012 - August 1, 2012
APEX CLEARING CORPORATION
July 8, 2009 - March 28, 2012
PENSON EXECUTION SERVICES, INC.
August 17, 2006 - March 26, 2013
PENSON FINANCIAL SERVICES, INC.
January 13, 2004 - July 31, 2006
CITI ORDER ROUTING AND EXECUTION, LLC
August 19, 2003 - July 31, 2006
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
November 5, 2001 - August 12, 2003
SOUTHWEST CLEARING CORP.
May 30, 2001 - August 12, 2003
MAY FINANCIAL CORPORATION
January 19, 2000 - August 12, 2003
HILLTOP 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/22/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
DOO FINANCIAL US, INC.
CRD#: 24409 / SEC#: , 8-41551
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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