Richard A. Vicars
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 Allan Vicars, who also goes by Rico VIcars, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2019 - March 12, 2020
HARRISDIRECT LLC
March 12, 2019 - March 12, 2020
E*TRADE SECURITIES LLC
August 15, 2014 - March 6, 2019
MML INVESTORS SERVICES, LLC
July 25, 2014 - March 6, 2019
MML INVESTORS SERVICES, LLC
August 13, 2013 - April 1, 2014
DETWILER FENTON INVESTMENT MANAGEMENT LLC
August 13, 2013 - April 1, 2014
DETWILER FENTON WEALTH MANAGEMENT INC
July 14, 2011 - December 31, 2011
HOWE BARNES CAPITAL MANAGEMENT, INC.
May 16, 2011 - November 29, 2012
RAYMOND JAMES & ASSOCIATES, INC.
April 4, 2011 - November 29, 2012
RAYMOND JAMES & ASSOCIATES, INC.
December 10, 2007 - August 1, 2011
HOWE BARNES HOEFER & ARNETT, INC.
June 25, 2007 - December 10, 2007
MOORS & CABOT, INC.
November 14, 2006 - June 25, 2007
MOORS & CABOT INC
August 4, 2006 - December 10, 2007
MOORS & CABOT, INC.
July 5, 2002 - August 9, 2006
WEDBUSH SECURITIES INC.
April 29, 2002 - July 19, 2002
RYAN BECK & CO.
April 14, 1998 - May 15, 2002
GRUNTAL & CO., L.L.C.
January 30, 1990 - April 1, 1998
PRUDENTIAL EQUITY GROUP, LLC
December 7, 1988 - January 31, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 8, 1985 - June 3, 1987
E. F. HUTTON & COMPANY INC
January 17, 1984 - January 18, 1984
WEDBUSH SECURITIES INC.
November 3, 1981 - November 6, 1985
PRUDENTIAL EQUITY GROUP, LLC
October 28, 1980 - November 5, 1981
MORGAN STANLEY DW INC.
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 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
