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RB

Richard B. Bossick

BETHESDA SECURITIES
Westport, CT 06880
Some features on this profile are disabled
CRD#: 6699390
RB

Professional summary

Richard Bruce Bossick is a registered financial professional currently at BETHESDA SECURITIES, LLC located in Westport, Connecticut.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2005. Richard has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 99 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Bruce Bossick'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

September 15, 2022 - Present

BETHESDA SECURITIES, LLC

Office #1: 355 Riverside Avenue Suite 301, Westport, CT 06880
BD
CRD#: 281179
Westport, CT
Past

September 20, 2016 - September 14, 2022

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

September 8, 2014 - July 15, 2015

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

April 1, 2013 - September 5, 2014

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
PITTSBURGH, PA
Past

September 12, 2005 - March 9, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL

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
Connecticut
(9/16/2022)
RR
Maryland
(9/20/2022)
RR
New Jersey
(10/11/2023)
RR
New York
(10/11/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 9/19/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 3/30/2013
Operations Professional Examination
General Industry/Product Exam
RR
Series 6
Date: 9/9/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BETHESDA SECURITIES, LLC
BETHESDA SECURITIES, LLC

CRD#: 281179 / SEC#: , 8-69667

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

Main Address
355 Riverside Avenue Suite 301, Westport, CT 06880
Mailing Address
355 Riverside Avenue Suite 301, Westport, CT 06880
Phone number
(203) 429-0720
Established
Delaware since 07/22/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AGNC INVESTMENT CORPSHAREHOLDER
BECRAFT, ANTHONY GARYCO-CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER4604728
CARROLL, BRIAN MITCHELLCHIEF FINANCIAL OFFICER5016023
REID, SEAN PATRICKCO-CHIEF EXECUTIVE OFFICER

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

BETHESDA SECURITIES, LLC

CRD#: 281179Westport, CT 06880

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