Richard L. Edwards
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 Lee Edwards, who also goes by Rick Lee Edwards, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2008 - November 19, 2020
SPC
September 18, 2008 - November 19, 2020
PARKLAND SECURITIES, LLC
January 1, 2008 - September 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 29, 2004 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 15, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
