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RICHARD COLBY MCFADDEN
COLBY MCFADDEN
CRD#: 2765788
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Investment Adviser
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Previous Broker
QUIVER FINANCIAL HOLDINGS LLCCRD#: 305224 501 NORTH EL CAMINO REAL
SUITE 200
SAN CLEMENTE, CA 92672
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2010 (3 years)2 FIRMS2010 - 2016 (5 years)2 FIRMS2016 - 2020 (4 years)IAQUIVER FINANCIAL HOLDINGS LLC (CRD# 305224)2020 - Present (4 years)BBROOKSTREET SECURITIES CORPORATION (CRD# 14667)1998 - 2007 (9 years)BSECURITIES SERVICE NETWORK, INC. (CRD# 13318)1996 - 1998 (1 year)IABROOKSTREET CAPITAL MANAGEMENT (CRD# 14667)2003 - 2007 (4 years)
Disclosure(s)
View By:
3/4/2014
Regulatory
Final
2/22/2010
Customer Dispute
Settled
3/27/2006
Customer Dispute
Settled
3/1/2005
Customer Dispute
Settled
License(s)

State Registrations

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California 3/30/2020

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Texas 10/19/2020

Current Registration(s)
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QUIVER FINANCIAL HOLDINGS LLC (CRD#:305224)
501 NORTH EL CAMINO REAL SUITE 200, SAN CLEMENTE, CA 92672
Registered with this firm since 3/30/2020

Previous Registration(s)
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07/15/2016 - 09/02/2020 WESTPARK CAPITAL, INC. (CRD#:39914) Newport Beach, CA
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08/09/2016 - 03/17/2020 WESTPARK CAPITAL, INC. (CRD#:39914) Newport Beach, CA
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11/05/2010 - 07/20/2016 NEWPORT COAST ASSET MANAGEMENT (CRD#:16944) IRVINE, CA
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11/05/2010 - 07/20/2016 NEWPORT COAST SECURITIES, INC. (CRD#:16944)
FINRA expelled the firm on 06/25/2018
IRVINE, CA
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06/29/2007 - 11/09/2010 INVESTORS CAPITAL ADVISORY (CRD#:30613) SAN CLEMENTE, CA
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06/29/2007 - 11/09/2010 INVESTORS CAPITAL CORP. (CRD#:30613) SAN CLEMENTE, CA
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07/15/2003 - 07/03/2007 BROOKSTREET CAPITAL MANAGEMENT (CRD#:14667) SAN CLEMENTE, CA
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07/20/1998 - 07/03/2007 BROOKSTREET SECURITIES CORPORATION (CRD#:14667) SAN CLEMENTE, CA
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08/20/1996 - 07/20/1998 SECURITIES SERVICE NETWORK, INC. (CRD#:13318) KNOXVILLE, TN
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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.