Richard A. Durand
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 Alan Durand was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1974. Richard had worked at 8 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 1992 - April 9, 2019
DOMINION INVESTOR SERVICES, INC.
April 4, 1988 - February 4, 1992
PRINCIPAL FINANCIAL SECURITIES,INC.
January 6, 1984 - April 28, 1988
THOMSON MCKINNON SECURITIES INC.
November 30, 1983 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
April 18, 1979 - November 22, 1983
RAUSCHER PIERCE REFSNES, INC.
January 18, 1978 - May 5, 1979
LOEB PARTNERS
June 14, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
June 14, 1974 - June 9, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 5/21/1985
AMEX Put and Call ExamSeries 1
Date: 6/12/1974
Registered Representative ExaminationCurrent Firm
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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