Richard C. Garbutt
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 Charles Garbutt, who also goes by Rick Garbutt, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 9 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2010 - February 7, 2012
P.J. ROBB VARIABLE, LLC
May 18, 2007 - September 4, 2008
CBIZ FINANCIAL SOLUTIONS, INC.
June 15, 2006 - March 1, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 25, 2005 - June 16, 2006
OSAIC FS, INC.
October 21, 2002 - April 1, 2005
JOHN HANCOCK DISTRIBUTORS LLC
May 11, 2001 - October 4, 2002
MONY SECURITIES CORPORATION
October 1, 2000 - February 1, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 19, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
January 7, 1998 - October 1, 1998
PRUCO SECURITIES, LLC.
October 20, 1992 - September 22, 1997
JOHN HANCOCK DISTRIBUTORS LLC
May 25, 1976 - March 4, 1991
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 5/17/1976
Registered Representative ExaminationCurrent Firm
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
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.
