Richard P. Burton
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 Patrick Burton, who also goes by Richard P Burton, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2022 - June 1, 2023
CANTELLA & CO., INC.
December 13, 2022 - September 12, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 9, 2022 - September 12, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 23, 2003 - December 12, 2022
CANTELLA & CO., INC.
June 16, 1999 - December 9, 2022
CANTELLA & CO., INC.
May 23, 1996 - June 1, 1999
THE INVESTMENT CENTER, INC.
April 3, 1984 - May 24, 1996
BERKSHIRE EQUITY SALES, INC.
April 6, 1981 - May 14, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 6, 1981 - May 14, 1984
EQUITABLE ADVISORS, 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
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
