Richard K. Alvers
Professional summary
Richard Kent Alvers II, who also goes by Richard Kent Alvers, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in St. Louis, Missouri.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2014. Richard has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Kent Alvers II's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2022 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 7733 Forsyth Boulevard Suite 625, St. Louis, MO 63105August 3, 2018 - August 3, 2022
PAYCHEX SECURITIES CORPORATION
January 27, 2015 - August 9, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 27, 2015 - August 9, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 4, 2014 - August 9, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2014 - August 9, 2018
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/17/2022)
(8/17/2022)
Exams
Series 99TO
Date: 8/28/2024
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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Company Information
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878St. Louis, MO 63105TRUST BUT VERIFY
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