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RE

Richard L. Elton

AFFILIATED BANKERS CAPITAL, L.L.C.
Austin, TX 78748
Some features on this profile are disabled
CRD#: 5086479
RE

Professional summary

Richard Leroy Elton, who also goes by Rick Leroy Elton, is a registered financial professional currently at AFFILIATED BANKERS CAPITAL, L.L.C. located in Austin, Texas.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Leroy Elton

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) - BD

Click below to view Richard Leroy Elton's CRS (Customer Relationship Summary).

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

Current

July 17, 2006 - Present

AFFILIATED BANKERS CAPITAL, L.L.C.

Office #1: 9901 Brodie Lane Suite 160 #340, Austin, TX 78748
BD
CRD#: 42842
Austin, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(7/17/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 7/14/2006
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AB
AFFILIATED BANKERS CAPITAL, L.L.C.
AFFILIATED BANKERS CAPITAL, INC. | AFFILIATED BANKERS CAPITAL, L.L.C.

CRD#: 42842 / SEC#: , 8-50032

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
9901 Brodie Lane Suite 160 #340, Austin, TX 78748
Mailing Address
9901 Brodie Lane Suite 160 #340, Austin, TX 78748
Phone number
(512) 479-8200
Established
Texas since 09/30/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SHESHUNOFF, GABRIELLE MARTHAOWNER2862545
1999 GEORGE BLAKE CABOT, JR. GENERATION SKIPPING FAMILY TRUSTOWNER
THE 1999 ALEXANDER AUSTIN SHESHUNOFF, JR. GENERATION SKIPPING FAMILY TRUSTOWNER
ADAMS, JOHN WAYNEPRINCIPAL - MANAGER, HEAD OF INVESTMENT BANKING, POO2867107
J. P. MORGAN TRUST COMPANY OF DELWARETRUSTEE, 1999 ALEXANDER AUSTIN SHESHUNOFF GENERATION SKIPPING FAMILY TRUST
J. P. MORGAN TRUST COMPANY OF DELWARETRUSTEE, THE 1999 GEORGE BLAKE CABOT, JR. GENERATION SKIPPING FAMILY TRUST
NOON, CHRISTOPHER MICHAELDIRECTOR, PRINCIPAL, CCO, FINOP5373985

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

AFFILIATED BANKERS CAPITAL, L.L.C.

CRD#: 42842Austin, TX 78748

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