Richard B. Pursell
Professional summary
Richard Brooks Pursell is a registered financial professional currently at BOLTON GLOBAL CAPITAL located in Carlisle, Pennsylvania.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1975. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 5, PC, Series 7, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Brooks Pursell's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2007 - Present
BOLTON GLOBAL CAPITAL
Office #1: 205 York Road, Carlisle, PA 17013April 26, 2002 - January 31, 2007
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 29, 1990 - May 3, 2002
LEGG MASON WOOD WALKER, INCORPORATED
April 24, 1975 - March 31, 1978
W. H. NEWBOLD'S SON & CO.
April 24, 1975 - January 31, 1990
W.H. NEWBOLD'S SON & CO., 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
(1/31/2007)
(1/31/2007)
(1/31/2007)
(1/31/2007)
(2/21/2012)
(1/31/2007)
(1/31/2007)
(1/31/2007)
(3/30/2015)
(11/3/2025)
(8/19/2021)
(1/31/2007)
(7/19/2007)
(8/25/2008)
Exams
Series 5
Date: 12/9/1982
Interest Rate Options ExaminationPC
Date: 9/29/1977
AMEX Put and Call ExamSeries 12
Date: 3/17/1984
NYSE Branch Manager ExaminationFINRA
Current Firm
BOLTON GLOBAL CAPITAL
CRD#: 15650 / SEC#: , 8-33222
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
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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