Richard L. Davis
Professional summary
Richard Lawrence Davis, CFA is a registered financial professional currently at SAMCO CAPITAL MARKETS, INC. located in Dallas, Texas.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1978. Richard has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Lawrence Davis's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2013 - Present
SAMCO CAPITAL MARKETS, INC.
Office #1: 1700 Pacific Avenue, Suite 4650, Dallas, TX 75201June 19, 1998 - July 24, 2013
HILLTOP SECURITIES INC.
March 2, 1998 - April 27, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
March 1, 1978 - January 2, 1998
RAUSCHER PIERCE REFSNES, 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
(12/4/2013)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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Company Information
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532Dallas, TX 75201TRUST BUT VERIFY
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