Individual Firm
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RICHARD ALLEN CARNES
RICK CARNES
CRD#: 2239976
IA
B
CAPITAL ANALYSTSCRD#: 162200 315 RESOURCE PKWY
WINDER, GA 30680
WINDER, GA 30680
LINCOLN INVESTMENTCRD#: 519 315 RESOURCE PKWY
WINDER, GA 30680
WINDER, GA 30680
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10/13/2004
Customer Dispute
Denied
State Registrations
B
Alabama 1/3/2017
B
Mississippi 1/3/2017
B
Florida 1/3/2017
B
North Carolina 1/3/2017
B
Georgia 1/3/2017
B
Ohio 1/3/2017
IA
Georgia 6/5/2017
B
South Carolina 1/3/2017
B
Kentucky 1/2/2024
B
Tennessee 1/3/2017
B
Michigan 1/3/2017
B
Virginia 1/3/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/2/2023
IA
Registered with this firm since 6/5/2017
B
Registered with this firm since 1/3/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/21/2005 - 10/04/2019 | WINDER, GA | |
B | 11/10/2005 - 01/03/2017 | WINDER, GA | |
B | 10/01/2002 - 11/21/2005 | WINDER, GA | |
B | 07/23/1992 - 10/01/2002 | HOUSTON, TX |
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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.
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.