Richard R. Schock
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 Ross Schock, who also goes by Richard Ross Catania, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - December 31, 2017
KESTRA ADVISORY SERVICES, LLC
September 21, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
February 3, 2003 - December 31, 2017
KESTRA INVESTMENT SERVICES, LLC
December 16, 2002 - February 18, 2003
M HOLDINGS SECURITIES, INC.
October 6, 2000 - December 12, 2002
M HOLDINGS SECURITIES, INC.
May 7, 1998 - October 9, 2000
MUTUAL SERVICE CORPORATION
May 19, 1992 - May 14, 1998
SUNAMERICA SECURITIES, INC.
March 21, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 12, 1984 - March 6, 1991
FMS SECURITIES, INC.
July 27, 1981 - October 17, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
November 9, 1973 - July 9, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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: 11/5/1973
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
