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DR

David R. Rich

GEORGIA SPECIALTY FINANCE
Some features on this profile are disabled
CRD#: 844674
DR

Professional summary

David Robert Rich is a registered financial advisor currently at GEORGIA SPECIALTY FINANCE CORPORATION .

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. David has worked at 4 firms and has passed the Series 65, Series 63, Series 22 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Rich's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 15, 2010 - Present

GEORGIA SPECIALTY FINANCE CORPORATION

RIA
CRD#: 153578
Past

September 12, 1994 - December 14, 1994

J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.

BD
CRD#: 20989
Past

April 23, 1984 - June 28, 1984

PHOENIX FINANCIAL CORPORATION

BD
CRD#: 8340
Past

October 26, 1977 - April 4, 1978

BUTCHER & SINGER INC.

BD
CRD#: 6517

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Georgia
(7/15/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/29/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/12/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 9/6/1994
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/1984
General Securities Representative Examination

Current Firm

GS
GEORGIA SPECIALTY FINANCE CORPORATION
DAVID R. RICH | GEORGIA SPECIALTY FINANCE CORPORATION

CRD#: 153578 / SEC#:

Georgia
Registered Investment Advisory firm - (7/14/2010 Approved)
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Contact information

Main Address
Johns Creek, GA
Mailing Address
Phone number
(770) 569-9429
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

GEORGIA SPECIALTY FINANCE CORPORATION

CRD#: 153578

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