Richard W. Kessler
Professional summary
Richard W. Kessler was barred by the SEC 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 2005. Prior to being barred, Richard had worked at 2 firms, which includes GUARDIAN GROUP INVESTMENTS LLC, LPL FINANCIAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2015 - June 27, 2017
GUARDIAN GROUP INVESTMENTS LLC
March 18, 2011 - December 31, 2013
GUARDIAN GROUP INVESTMENTS LLC
April 22, 2010 - December 31, 2010
GUARDIAN GROUP INVESTMENTS LLC
February 17, 2005 - April 25, 2008
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Exams
Current Firm
GUARDIAN GROUP INVESTMENTS LLC
CRD#: 148617 / SEC#:
Contact information
Red Flags
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