Richard F. Livaudais
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 Frank Livaudais, who also goes by Ric Livaudais, Richard F Livaudais, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 15 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
December 14, 1994 - May 20, 1998
AMUNI FINANCIAL, INC.
November 4, 1994 - November 23, 1994
AMUNI FINANCIAL, INC.
September 29, 1994 - October 18, 1994
TDI, INCORPORATED
January 12, 1993 - August 23, 1994
AMUNI FINANCIAL, INC.
September 27, 1990 - December 23, 1992
POWELL & SATTERFIELD, INC.
March 20, 1989 - September 25, 1990
ANGLO-AMERICAN INVESTOR SERVICES CORP.
August 25, 1988 - December 3, 1988
DICKINSON & CO.
September 15, 1987 - August 30, 1988
DELTA FINANCIAL INVESTMENT CORPORATION
May 11, 1987 - August 30, 1988
DELTA FINANCIAL INVESTMENT CORPORATION
February 16, 1987 - May 20, 1987
U.S. ASSOCIATES, INC.
December 18, 1985 - January 29, 1987
SWINK & COMPANY, INC.
August 20, 1984 - January 28, 1985
DELTA FINANCIAL INVESTMENT CORPORATION
July 30, 1984 - April 16, 1985
COLLINS SECURITIES CORPORATION
April 10, 1984 - June 8, 1984
PARK, RYAN, INC.
July 22, 1981 - November 20, 1983
BRITTENUM & ASSOCIATES, INC.
June 5, 1980 - October 29, 1981
PARHAM & COMPANY, INC.
April 29, 1980 - May 23, 1980
R. ROWLAND & CO., INCORPORATED
November 27, 1979 - April 24, 1980
WESTCAP SECURITIES, L.P.
November 27, 1978 - December 12, 1979
G. WEEKS & CO., INC.
Primary Firm SEC Registration
AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
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
AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 274 |
| AUM (Assets Under Management) | $ 159,700,000 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 06/13/2023 |
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.
