Richard N. Davis
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 Nevin Davis, who also goes by Dick Davis, Richard Nevin Davis Sr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 13 firms and has passed the Series 63, 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
October 15, 2010 - January 20, 2011
XTENT FINANCIAL GROUP, INC.
December 18, 2009 - March 5, 2010
UNITED EQUITY SECURITIES, LLC
June 16, 2008 - April 21, 2009
ALTERNATIVE WEALTH STRATEGIES, INC.
September 1, 2006 - June 20, 2008
WORKMAN SECURITIES CORPORATION
October 28, 2002 - July 26, 2006
CALTON & ASSOCIATES, INC.
October 30, 2001 - July 12, 2002
STERLING ENTERPRISES GROUP, INC.
July 30, 1997 - October 22, 2001
RUSSIAN RIVER FINANCIAL SERVICES, INC.
June 19, 1996 - December 10, 1996
SII INVESTMENTS, INC.
September 26, 1994 - October 24, 1995
DOMINION CAPITAL CORPORATION
April 27, 1993 - September 27, 1994
BROOKSTREET SECURITIES CORPORATION
July 30, 1984 - September 4, 1991
CONSOLIDATED INVESTMENT SERVICES, INC.
July 22, 1982 - July 11, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
October 1, 1976 - June 16, 1982
PW SECURITIES, 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: 9/17/1976
Registered Representative ExaminationCurrent Firm
XTENT FINANCIAL GROUP, INC.
CRD#: 7854 / SEC#: , 8-23340
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TAIPAN ACQUISITIONS, LLC | OWNER | |
| JBL ACQUISITIONS, LLC | OWNER | |
| MEIL, JASON TODD | PRESIDENT, CHIEF COMPLIANCE OFFICER, EXECUTIVE REPRESENTATIVE | 4711393 |
Disclosures
| Regulatory Event | 8 |
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.
