Richard E. Mcallaster
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 Emerson Mcallaster, who also goes by Dick Mcallaster, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 24 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
February 23, 2001 - November 24, 2004
STERNE, AGEE & LEACH, INC.
October 4, 2000 - April 18, 2001
FIRST ALLIED SECURITIES, INC.
June 16, 1993 - October 25, 2000
D.E. FREY & COMPANY, INC.
May 30, 1990 - June 3, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 1983 - June 8, 1990
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1980 - September 9, 1983
THE ROBINSON-HUMPHREY COMPANY, 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
Exams
Series 8
Date: 10/13/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
