Individual Firm
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RICHARD LUCIAN GIFFIN
RICK GIFFIN
CRD#: 1926905
IA
B
AMUNI FINANCIAL, INC.CRD#: 8365 1501 N UNIVERSITY AVE
SUITE 330
LITTLE ROCK, AR 72207
SUITE 330
LITTLE ROCK, AR 72207
View By:
4/29/2015
Financial
Final
State Registrations
B
Alabama 1/8/1993
B
Indiana 1/11/2023
B
Arizona 2/28/2024
B
Missouri 3/15/1993
B
Arkansas 1/12/1993
B
South Carolina 5/2/2017
IA
Arkansas 4/21/2021
B
Texas 1/11/1993
B
California 7/7/1994
B
Virginia 3/29/2023
B
Georgia 2/27/2013
B
Wisconsin 11/11/2024
B
Illinois 1/8/1993
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 4/21/2021
B
Registered with this firm since 1/8/1993
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/08/1990 - 12/23/1992 | LITTLE ROCK, AR | |
B | 04/25/1990 - 08/13/1990 | ATLANTA, GA | |
B | 02/22/1989 - 01/01/1990 |
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B
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.
IA
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.
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