Individual Firm
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RICHARD JOSEPH ROBINSON
Rick Robinson
CRD#: 1472034
IA
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PRIVATE CLIENT SERVICES, LLCCRD#: 120222 2225 LEXINGTON ROAD
LOUISVILLE, KY 40206
LOUISVILLE, KY 40206
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5/26/2006
Customer Dispute
Closed-No Action
3/22/2006
Employment Separation After Allegations
State Registrations
B
Colorado 4/25/2023
B
Montana 1/3/2022
B
District of Columbia 8/25/2015
B
North Carolina 5/13/2010
B
Florida 5/6/2010
B
Oklahoma 1/9/2018
B
Illinois 3/27/2020
B
Oregon 4/17/2020
B
Indiana 5/7/2010
B
Pennsylvania 7/8/2013
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Kentucky 11/19/2008
B
Texas 5/13/2010
B
Kentucky 5/6/2010
B
Virginia 9/26/2024
B
Michigan 5/27/2010
SRO Registrations
B
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Learn about permitted activities of registered principals
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Registered with this firm since 11/19/2008
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Registered with this firm since 5/3/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/24/2007 - 05/06/2010 | LOUISVILLE, KY | |
B | 03/17/2006 - 05/06/2010 | LOUISVILLE, KY | |
IA | 06/01/2005 - 04/07/2006 | LOUISVILLE, KY | |
B | 06/01/2005 - 04/07/2006 | NEW YORK, NY | |
IA | 05/15/2002 - 06/01/2005 | LOUISVILLE, KY | |
B | 05/31/1988 - 06/01/2005 | NEW YORK, NY | |
B | 05/31/1988 - 10/15/1990 | NEW YORK, NY | |
B | 04/24/1986 - 05/10/1988 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.