Richard A. Liberty
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 Alfred Liberty was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1977. Richard had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2006 - December 15, 2006
LIBERTY INVESTMENT ADVISORS
October 1, 2002 - October 1, 2010
COMMONWEALTH FINANCIAL NETWORK
July 18, 1994 - October 1, 2010
COMMONWEALTH FINANCIAL NETWORK
January 3, 1983 - July 1, 1994
GRUNTAL & CO., L.L.C.
October 26, 1977 - January 10, 1983
ROBERT C. CARR & CO., 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 8
Date: 4/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
