Richard W. Stevenson
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 Wilbur Stevenson, who also goes by Dick Stevenson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1963. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2010 - December 31, 2019
MUTUAL SECURITIES, INC.
October 17, 1997 - September 22, 2010
SYNDICATED CAPITAL, INC.
January 17, 1997 - April 24, 1997
LAGUNA SECURITIES, INC.
May 21, 1985 - May 22, 1986
AXE SECURITIES CORPORATION
December 15, 1976 - April 11, 1978
TEMPLETON FUNDS DISTRIBUTOR, INC.
March 16, 1976 - February 17, 1995
VAN ECK SECURITIES CORPORATION
February 2, 1976 - March 28, 1985
FIRST AFFILIATED SECURITIES, INC.
October 16, 1974 - March 21, 1976
LOEB RHOADES & CO
September 2, 1971 - November 12, 1976
ROBERTS, SCOTT & CO., INC.
February 3, 1971 - October 2, 1971
CITIGROUP GLOBAL MARKETS INC.
June 19, 1963 - August 16, 1972
GOODBODY & CO. INCORPORATED
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: 1/5/1959
Registered Representative ExaminationSeries 40
Date: 7/26/1976
Registered Principal ExaminationCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
