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RP

Rick E. Pierson

Some features on this profile are disabled
CRD#: 500808
RP

Professional summary

Rick Ellis Pierson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rick is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Rick had worked at 10 firms, which includes TDI INCORPORATED, MERIDIAN DUNHILL & CO. INC., GSC SECURITIES INC., GOVERNMENT SECURITIES CORPORATION, BIRCHTREE FINANCIAL SERVICES LLC, UNDERWOOD NEUHAUS & CO. INCORPORATED, ROTAN MOSLE INC., DOVER GROUP INC., M. W. JENKINS & CO., SHAP MANAGEMENT GROUP INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rich Ellis Pierson

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

January 31, 1995 - June 25, 1997

TDI, INCORPORATED

BD
CRD#: 30629
ENGLEWOOD, CO
Past

August 22, 1994 - July 11, 1995

MERIDIAN, DUNHILL & CO., INC.

BD
CRD#: 15294
Past

September 12, 1990 - July 26, 1994

GSC SECURITIES, INC.

BD
CRD#: 17013
Past

February 14, 1990 - July 26, 1994

GOVERNMENT SECURITIES CORPORATION

BD
CRD#: 19698
Past

January 2, 1990 - February 3, 1990

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

October 19, 1987 - October 24, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

BD
CRD#: 839
HOUSTON, TX
Past

July 14, 1987 - October 6, 1987

ROTAN MOSLE INC.

BD
CRD#: 727
Past

March 18, 1986 - December 16, 1986

DOVER GROUP, INC.

BD
CRD#: 16809
Past

January 21, 1985 - April 23, 1986

M. W. JENKINS & CO.

BD
CRD#: 7280
Past

August 24, 1982 - January 4, 1983

SHAP MANAGEMENT GROUP, INC.

BD
CRD#: 10680

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: 7/22/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/1986
General Securities Principal Examination

Current Firm

TI
TDI, INCORPORATED
TDI, INCORPORATED | U.S. CENTRAL SECURITIES CORPORATION | U.S. CENTRAL SECURITIES | TRADERS AND DEALERS, INC.

CRD#: 30629 / SEC#: , 8-45046

BD
Terminated by SEC on 02/12/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/08/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MANNING, JERRY WAYNECEO AND FINANCIAL PRINCIPAL848596

Disclosures

Regulatory Event7
Arbitration1

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

TDI, INCORPORATED

CRD#: 30629

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