Richard F. Nester
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 F Nester, who also goes by Richard Nester, Rick Nester, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2015. Richard had worked at 5 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
February 28, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
June 28, 2017 - February 26, 2018
SCOTTRADE, INC.
May 2, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
March 2, 2016 - May 1, 2017
PRINCIPAL SECURITIES, INC.
June 30, 2015 - May 1, 2017
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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