Richard D. Briggs
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 Doubledee Briggs JR., who also goes by Richard Doubledee Briggs, Jr., was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2002. Richard had worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2023 - September 5, 2025
BML SECURITIES LLC
August 1, 2002 - July 30, 2023
CONSILIUM PARTNERS LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 4/18/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
BML SECURITIES LLC
CRD#: 167535 / SEC#: , 8-69262
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENNING ASSOCIATES LLC | MANAGING MEMBER | |
| BUSINESS CAPITAL EXCHANGE INC | MANAGING MEMBER | |
| NORTH RIVER CAPITAL LLC | MANAGING MEMBER | |
| FLYNN, PETER FRANCIS | CCO/FINOP | 2655124 |
Red Flags
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