• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
RICHARD KENT BAIN JR.
RICHARD KENT BAIN JR, RICHARD KENT BAIN, RICK BAIN
CRD#: 2068145
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 1524 S. LINDBERGH BOULEVARD
ST. LOUIS, MO 63131
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 1524 S. LINDBERGH BOULEVARD
ST. LOUIS, MO 63131
Registration History
19901995200020052010201520202025IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1995 - Present (29 years)BMARKET STREET SECURITIES, INC. (CRD# 32519)1994 - 1995 (1 year)BCOMMERCE BROKERAGE SERVICES, INC. (CRD# 17140)1992 - 1994 (1 year)BHIBBARD BROWN & CO., INC. (CRD# 18246)1990 - 1990 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)1997 - 2018 (21 years)
License(s)

State Registrations

B
Arizona 11/25/2003

B
Minnesota 2/11/2013

B
Arkansas 7/14/2008

B
Mississippi 2/12/2021

B
California 2/7/2001

B
Missouri 10/10/1995

B
Colorado 8/17/2017

IA
Missouri 7/13/2018

B
Connecticut 2/12/2021

B
Nevada 9/7/2016

B
District of Columbia 4/9/2021

B
New Jersey 8/28/2020

B
Florida 1/11/2001

B
New York 7/14/2008

B
Georgia 8/17/2017

B
North Carolina 9/13/2021

B
Illinois 10/9/1995

B
Oregon 12/7/2015

B
Indiana 3/25/2023

B
Pennsylvania 2/12/2021

B
Iowa 1/11/2001

B
South Carolina 7/13/2016

B
Kansas 9/22/2021

B
Tennessee 11/25/2003

B
Kentucky 10/9/1995

B
Texas 2/7/2001

B
Louisiana 9/19/2019

IA
Texas 7/13/2018

B
Maine 3/25/2023

B
Utah 10/22/2009

B
Massachusetts 7/14/2008

B
Washington 8/16/2022

B
Michigan 9/15/2004

B
Wisconsin 8/17/2017

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
1524 S. LINDBERGH BOULEVARD, ST. LOUIS, MO 63131
WILDWOOD, MO
Registered with this firm since 7/13/2018

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
1524 S. LINDBERGH BOULEVARD, ST. LOUIS, MO 63131
WILDWOOD, MO
Registered with this firm since 10/9/1995

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/21/1997 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) ST. LOUIS, MO
B
02/09/1994 - 10/03/1995 MARKET STREET SECURITIES, INC. (CRD#:32519)
B
07/17/1992 - 01/29/1994 COMMERCE BROKERAGE SERVICES, INC. (CRD#:17140) CLAYTON, MO
B
06/21/1990 - 07/25/1990 HIBBARD BROWN & CO., INC. (CRD#:18246)
FINRA expelled the firm on 02/22/1996
NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.