Richard N. Jensen
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 Neil Jensen, who also goes by Rick Jensen, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 8 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 1992 - May 14, 1993
MARKETING ONE SECURITIES, INC.
August 16, 1990 - September 30, 1991
OSAIC FS, INC.
February 23, 1989 - April 20, 1990
PREMIERETRADE SECURITIES, INC.
March 30, 1987 - February 27, 1989
INTERNATIONAL ASSETS ADVISORY, LLC
May 13, 1986 - August 29, 1986
THE ADVISORS GROUP, INC.
October 23, 1985 - May 19, 1986
1717 CAPITAL MANAGEMENT COMPANY
March 31, 1982 - November 1, 1985
METROPOLITAN LIFE INSURANCE COMPANY
March 31, 1982 - November 1, 1985
MSI FINANCIAL SERVICES, 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: 8/8/1977
Registered Representative ExaminationCurrent Firm
MARKETING ONE SECURITIES, INC.
CRD#: 16611 / SEC#: , 8-34263
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARKETING ONE, INC. | OWNER | |
| ANDRE, LESLIE ELAINE | VP / DIRECTOR OF COMPLIANCE | 712461 |
| BOWER, JOHN CARROLL | DIRECTOR | 1466042 |
| HILLIKER, JAMES RICHARD | OPS/SROP/PRINCIPAL/VP | 874277 |
| MARSH, RONALD STEVEN | CROP | 2241694 |
| NIPOTI, PETER EDWARD | PRESIDENT / DIRECTOR | 2462962 |
| SILVERMAN, SCOTT | DIRECTOR | 3265096 |
| TEMPLE, DOUGLAS M | FIN OP/VP/TREASURER/ASST. SEC. | 2682868 |
Disclosures
| Regulatory Event | 5 |
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.
