Richard L. Stevens
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 Leigh Stevens was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2015 - December 12, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 28, 2015 - December 12, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 8, 2014 - December 31, 2014
G. A. REPPLE & COMPANY
April 7, 2014 - December 31, 2014
G. A. REPPLE & COMPANY
March 11, 2013 - April 8, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
February 26, 2013 - April 8, 2014
ALLSTATE FINANCIAL SERVICES, LLC
February 13, 2013 - March 8, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - March 8, 2013
RAYMOND JAMES & ASSOCIATES, INC.
March 31, 2010 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
April 12, 2001 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
September 3, 1991 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
June 1, 1989 - September 13, 1991
LEHMAN BROTHERS INC.
September 19, 1984 - June 26, 1989
MORGAN KEEGAN & COMPANY, LLC
November 23, 1979 - October 26, 1984
FIRST BIRMINGHAM SECURITIES CORPORATION
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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