Richard E. Dirickson
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 Edward Dirickson JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 5 firms and has passed the Series 63, Series 52TO, Series 7TO, Series 79TO, Series 99TO, SIE, PC, Series 1, Series 24, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2020 - October 15, 2021
SAN FRANCISCO SENTRY INVESTMENT GROUP
October 16, 2002 - July 30, 2021
S F SENTRY SECURITIES, INC.
July 23, 1993 - December 31, 2019
SAN FRANCISCO SENTRY INVESTMENT GROUP
August 13, 1981 - July 20, 1990
HAMBRECHT & QUIST LLC
September 26, 1978 - September 22, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1970 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 4/24/1970
Registered Representative ExaminationSeries 8
Date: 3/21/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SAN FRANCISCO SENTRY INVESTMENT GROUP
CRD#: 106257 / SEC#: 801-44325
Contact information
Red Flags
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