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RK

Richard J. Kearns

PARITER SECURITIES
Guaynabo, PR 00966
Some features on this profile are disabled
CRD#: 4429679
RK

Professional summary

Richard Jerome Kearns is a registered financial professional currently at PARITER SECURITIES, LLC located in Guaynabo, .

Richard is registered as a RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Jerome Kearns's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 22, 2023 - Present

PARITER SECURITIES, LLC

Office #1: 243 Carretera #2, Guaynabo, PR 00966
BD
CRD#: 127836
Guaynabo, PR
Past

September 4, 2013 - January 12, 2024

ASHTON STEWART & CO., INC.

BD
CRD#: 112386
MIAMI, FL
Past

October 16, 2009 - August 30, 2013

SINCLAIR & COMPANY, LLC

BD
CRD#: 133754
DARIEN, CT
Past

July 31, 2006 - September 6, 2007

SILVER SPRING SECURITIES, LLC

BD
CRD#: 46970
RIDGEFIELD, CT
Past

January 14, 2002 - July 30, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(12/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/8/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PARITER SECURITIES, LLC
ALPHA PRD, INC. | PARITER SECURITIES, LLC | PARITER SECURITIES, INC.

CRD#: 127836 / SEC#: , 8-66064

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
243 Carretera #2, Guaynabo, PR 00966
Mailing Address
P.o. Box 11852, San Juan, PR 00922
Phone number
(787) 781-2555
Established
Puerto Rico since 03/11/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIVERA FERNANDEZ, FRANCISCO JOSEMEMBER, PRESIDENT2303039
SOTOMAYOR ALAMO, EDUARDOMUNICIPAL PRINCIPAL4479048
SOTOMAYOR ALAMO, EDUARDOCHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL4479048
VELEZ GREEN, MARCOS R.FINOP6841122

Disclosures

Regulatory Event6

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.

Company Information

PARITER SECURITIES, LLC

CRD#: 127836Guaynabo, PR 00966

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