Richard B. Megorden
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 Burton Megorden II, who also goes by Dick Megorden II, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 1 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
April 6, 2017 - December 8, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 23, 2017 - December 8, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 19, 2014 - March 7, 2017
TRIAD ADVISORS LLC
September 3, 2013 - May 19, 2014
CETERA WEALTH SERVICES, LLC
March 2, 2006 - December 31, 2015
AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.
December 31, 2001 - February 22, 2017
IFG RUSSELL ADVISORS INC
January 5, 1996 - September 3, 2013
WALNUT STREET SECURITIES, INC.
March 10, 1994 - January 2, 1996
FSC SECURITIES CORPORATION
November 19, 1989 - March 11, 1994
OSAIC WEALTH, INC.
November 9, 1982 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 15, 1975 - December 31, 1989
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 1
Date: 8/11/1975
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
