Richard P. Mudd
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 Peers Mudd SR, who also goes by Richard Peers Mudd, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 7 firms and has passed the SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2014 - October 31, 2016
GIRARD INVESTMENT SERVICES, LLC
April 4, 2011 - January 11, 2019
GIRARD PARTNERS LTD.
April 4, 2011 - August 19, 2014
GIRARD CAPITAL, LLC
October 12, 1993 - March 31, 2011
INVESTORS SECURITY COMPANY, INC.
December 24, 1991 - March 31, 2011
INVESTORS SECURITY COMPANY, INC.
July 11, 1991 - November 12, 1991
THE ADVISORS GROUP, INC.
July 30, 1982 - July 3, 1991
INVESTORS SECURITY COMPANY, INC.
April 21, 1982 - July 23, 1982
CARDELL & ASSOCIATES, INCORPORATED
June 17, 1976 - April 19, 1982
NEW ENGLAND SECURITIES
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 2
Date: 6/13/1973
Non-Member General Securities ExaminationCurrent Firm
GIRARD INVESTMENT SERVICES, LLC
CRD#: 1834 / SEC#: 801-61159, 8-14145
Contact information
FINRA licenses (15 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNIVEST BANK AND TRUST CO. | HOLDING COMPANY | |
| COLON, LISA MARIE | PRINCIPAL OPERATIONS OFFICER | 2392261 |
| GEIBEL, DAVID WARREN | PRESIDENT | 2645082 |
| HELLINGS, THOMAS EDWIN | SVP, CHIEF COMPLIANCE OFFICER | 2128581 |
| JOHNSON, DARREN GLEN | VP, FINANCIAL OFFICER | 4102844 |
| VANSANT, WILLIAM FRANCIS III | SVP, MANAGING DIRECTOR | 4511525 |
Disclosures
| Regulatory Event | 2 |
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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