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RM

Richard A. Mcguire

Some features on this profile are disabled
CRD#: 4637028
RM

Professional summary

Richard Allen Mcguire was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Richard had worked at 8 firms, which includes NEWPORT COAST SECURITIES INC., FINANCIAL WEST GROUP, CABOT LODGE SECURITIES LLC, INVESTACORP INC., AMERITAS INVESTMENT COMPANY LLC, WORLD INVESTMENTS LLC, MML INVESTORS SERVICES LLC, NEW ENGLAND SECURITIES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rich Allen Mcguire | Rich Mcguire

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 4, 2014 - April 28, 2015

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY
Past

July 28, 2014 - November 7, 2014

FINANCIAL WEST GROUP

BD
CRD#: 16668
BAY SHORE, NY
Past

March 4, 2013 - August 11, 2014

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
BAY SHORE, NY
Past

June 20, 2011 - December 5, 2012

INVESTACORP, INC.

BD
CRD#: 7684
BAY SHORE, NY
Past

December 21, 2009 - April 27, 2011

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
WALL, NJ
Past

May 15, 2008 - December 31, 2009

WORLD INVESTMENTS, LLC

BD
CRD#: 20626
GARDEN CITY, NY
Past

August 5, 2005 - December 21, 2007

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
HAUPPAUGE, NY
Past

February 28, 2003 - June 2, 2005

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/10/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/26/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NC
NEWPORT COAST SECURITIES, INC.
GRANT BETTINGEN, INC. | NEWPORT COAST SECURITIES, INC. | NEWPORT COAST SECURITIES | NEWPORT COAST ASSET MANAGEMENT

CRD#: 16944 / SEC#: 801-67802, 8-34790

BD
Terminated by SEC on 10/02/2016
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Contact information

Main Address
1720 Garry Ave. #108, Santa Ana, CA 92705
Mailing Address
Phone number
Established
California since 03/06/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (3/18/2016)

Direct owners and executive officers

NamePositionCRD#
RUBICON FINANCIAL INCORPORATEDOWNER
KESSLER, KRISTOPHER CHARLESCOO4543640
LEE, KEVIN CHONGCHIEF COMPLIANCE OFFICER3143283
ONESTO, RICHARD ERNESTFINOP/CFO2453096
ONESTO, RICHARD ERNESTCEO2453096

Disclosures

Regulatory Event12
Arbitration7

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

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

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