Richard P. Debruin
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 Peter Debruin, who also goes by Richard Peter Debruin, Rick Debruin, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 8 firms and has passed the Series 63, Series 3 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
February 6, 2009 - February 1, 2013
ICBA SECURITIES
August 28, 2008 - February 1, 2013
VINING-SPARKS IBG, LLC
August 15, 2006 - April 16, 2008
PIPER SANDLER & CO.
September 19, 2005 - August 14, 2006
PIPER SANDLER & CO.
January 31, 2001 - September 28, 2005
ADVEST, INC.
November 3, 1981 - November 29, 2000
PRUDENTIAL EQUITY GROUP, LLC
April 30, 1979 - October 21, 1981
CITIGROUP GLOBAL MARKETS INC.
November 1, 1978 - March 6, 1979
BECKER PARIBAS INCORPORATED
April 14, 1978 - June 22, 1978
WEEDEN & CO.
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
ICBA SECURITIES
CRD#: 24088 / SEC#: , 8-40867
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | OWNER | |
| BATES, THOMAS EUGENE | DIRECTOR | 7598713 |
| BITTINGER, AZA HARRISON JR. | DIRECTOR | 4169602 |
| FOSTER, BRENDA KAY | DIRECTOR | |
| GUERRA, GABE | DIRECTOR | 7910566 |
| HEID, BLAKE AARON | DIRECTOR | 7598685 |
| JORDE, TERRY JEAN | SECRETARY | 2643666 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| REBER, JAMES LEO | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 1809879 |
| ROMERO RAINEY, REBECA MARIA | DIRECTOR | 6989824 |
| TWEDDLE, KEVIN MATTHEW | DIRECTOR | 7152050 |
| WANICHEK, CRAIG ALAN | DIRECTOR | 2352101 |
Red Flags
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