Richard M. Covington
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 Maynard Covington was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1964. Richard had worked at 5 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2002 - July 14, 2008
RIDGEWAY & CONGER, INC.
February 15, 2002 - June 4, 2002
LADENBURG THALMANN & CO. INC.
March 15, 1982 - January 29, 2002
MERICKA & CO., INC.
January 24, 1979 - February 17, 1982
RONEY & CO. L.L.C.
July 29, 1964 - April 17, 1979
ROOSE, WADE AND COMPANY
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
RIDGEWAY & CONGER, INC.
CRD#: 113055 / SEC#: , 8-53291
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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