Richard C. Ellis
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 Charles Ellis, who also goes by Dick Ellis, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 4 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 1995 - June 30, 1998
RESOURCE SECURITIES CORPORATION
December 5, 1991 - March 16, 1995
CIBC WORLD MARKETS CORP.
November 15, 1979 - December 23, 1991
LEHMAN BROTHERS INC.
August 18, 1977 - November 24, 1979
FIRST CITIZENS MUNICIPAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
RESOURCE SECURITIES CORPORATION
CRD#: 8696 / SEC#: , 8-25939
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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