Richard A. Marshall
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 Alan Marshall, who also goes by Richard A Marshall, Rick Marshall, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2006. Richard had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2012 - October 21, 2015
COMMONWEALTH FINANCIAL SERVICES, LLC
September 21, 2012 - December 9, 2015
LPL FINANCIAL LLC
April 27, 2010 - September 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 2010 - September 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2006 - January 19, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
COMMONWEALTH FINANCIAL SERVICES, LLC
CRD#: 154369 / SEC#: 801-71731
Contact information
Red Flags
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