Richard G. Agran
Professional summary
Richard Gary Agran was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Richard had worked at 12 firms, which includes FOOTHILL SECURITIES INC., BIRCHTREE FINANCIAL SERVICES LLC, ROUND HILL SECURITIES INC., ANNANDALE SECURITIES INC., FIRST CALIFORNIA CAPITAL MARKETS GROUP INC., GFC SECURITIES CORPORATION, AGFC INVESTMENT SECURITIES, WELLINGTON SECURITIES INC., ADVISORY FINANCIAL CONSULTANTS INC., AMERIPRISE FINANCIAL SERVICES LLC, AMERICAN EXPRESS FINANCIAL CORPORATION, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 1999 - August 31, 2000
FOOTHILL SECURITIES, INC.
November 13, 1996 - December 23, 1998
BIRCHTREE FINANCIAL SERVICES LLC
February 20, 1996 - October 25, 1996
ROUND HILL SECURITIES, INC.
October 19, 1994 - January 4, 1995
ANNANDALE SECURITIES, INC.
June 27, 1991 - July 9, 1993
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
February 6, 1989 - March 29, 1989
GFC SECURITIES CORPORATION
July 9, 1987 - August 16, 1988
AGFC INVESTMENT SECURITIES
July 2, 1987 - July 17, 1987
WELLINGTON SECURITIES, INC.
February 3, 1982 - April 15, 1985
ADVISORY FINANCIAL CONSULTANTS, INC.
July 21, 1978 - January 8, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
July 21, 1978 - February 16, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
July 21, 1978 - February 16, 1982
IDS LIFE INSURANCE COMPANY
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: 7/13/1978
Registered Representative ExaminationCurrent Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
