Ryan J. Kirkpatrick
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.
Ryan Jeffrey Kirkpatrick was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2001. Ryan had worked at 4 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2008 - May 19, 2011
FIRST LONDON SECURITIES CORPORATION
April 21, 2003 - April 15, 2008
BARRON MOORE, INC.
March 24, 2003 - March 28, 2003
BARRON MOORE, INC.
November 19, 2002 - March 24, 2003
MORGAN SPAULDING, INC.
October 17, 2001 - November 14, 2002
REEF SECURITIES, 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
Current Firm
FIRST LONDON SECURITIES CORPORATION
CRD#: 29709 / SEC#: , 8-44399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DGN SECURITIES | SHAREHOLDER | |
| NICHOLS, DOUGLAS ROCKWELL | CEO, CFO, COO, SROP,CROP, DIRECTOR | 1584810 |
| TAYLOR, DEBRA JEAN | CORPORATE SECRETARY, DIRECTOR, CCO |
Disclosures
| Regulatory Event | 6 |
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.
