Richard C. Webb
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 Clark Webb, who also goes by Rit Webb, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 14 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2017 - December 31, 2018
FRONTIER SOLUTIONS, LLC
May 6, 2014 - November 2, 2015
SEQUENCE FINANCIAL SPECIALISTS LLC
January 6, 2012 - May 15, 2012
SAXONY SECURITIES, INC.
July 26, 2006 - January 26, 2012
ABSHIER WEBB DONNELLY & BAKER, INC.
January 17, 2005 - September 11, 2006
REALIZED FINANCIAL, INC.
February 1, 2000 - January 5, 2005
SANDERS MORRIS LLC
February 22, 1994 - February 1, 2000
HARRIS WEBB & GARRISON, INC.
June 21, 1991 - February 18, 1994
FINANCIAL SQUARE PARTNERS
September 4, 1990 - June 26, 1991
WELLS FARGO CLEARING SERVICES, LLC
August 18, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
August 24, 1981 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
February 1, 1971 - June 29, 1981
ROTAN MOSLE INC.
December 23, 1970 - 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 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 1
Date: 3/15/1960
Registered Representative ExaminationSeries 12
Date: 4/22/1965
NYSE Branch Manager ExaminationCurrent Firm
FRONTIER SOLUTIONS, LLC
CRD#: 136102 / SEC#: , 8-66972
Contact information
FINRA licenses (47 States and Territories)
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.
