Richard A. Gaines
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 Alan Gaines was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2018 - September 5, 2018
WWM FINANCIAL
March 14, 2008 - April 18, 2017
CROSSROADS CAPITAL MANAGEMENT, INC.
April 14, 2003 - June 13, 2003
MUTUAL SERVICE CORPORATION
October 2, 2002 - June 13, 2003
MUTUAL SERVICE CORPORATION
April 2, 2002 - April 15, 2002
SENTRA SECURITIES CORPORATION
September 7, 2000 - April 15, 2002
SENTRA SECURITIES CORPORATION
Primary Firm SEC Registration
WWM FINANCIAL
CRD#: 157620 / SEC#: 801-72588
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
Current Firm
WWM FINANCIAL
CRD#: 157620 / SEC#: 801-72588
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,548 |
| AUM (Assets Under Management) | $ 342,090,884 |
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.
