Richard L. Schubert
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 Luhrs Schubert was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 9 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2006 - July 6, 2012
MORGAN KEEGAN & COMPANY, LLC
October 17, 2006 - July 6, 2012
MORGAN KEEGAN & COMPANY, LLC
December 5, 2001 - March 5, 2002
FIRST VANTAGE INVESTMENTS LLC
September 26, 2000 - October 17, 2006
REGISTER FINANCIAL ASSOCIATES, INC.
April 18, 2000 - October 17, 2006
REGISTER FINANCIAL ASSOCIATES, INC.
December 10, 1999 - December 21, 1999
IFG NETWORK SECURITIES, INC.
December 1, 1997 - May 8, 2000
ABN AMRO SECURITIES LLC
September 17, 1997 - October 9, 1997
ABN AMRO SECURITIES LLC
September 1, 1997 - October 9, 1997
DB ALEX. BROWN LLC
June 15, 1983 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
January 8, 1973 - June 27, 1983
THE ROBINSON-HUMPHREY COMPANY, LLC
October 18, 1971 - February 9, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 2/2/1979
AMEX Put and Call ExamSeries 1
Date: 10/13/1971
Registered Representative ExaminationSeries 8
Date: 8/13/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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