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Richard Dale Self
Richard Dale Self Jr, Richard Self
CRD#: 7805667
IA
B
EDWARD JONESCRD#: 250 240 OXFORD EXCHANGE BOULEVARD
OXFORD, AL 36203
OXFORD, AL 36203
0
Disclosures
1
Year of Experience
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State Registrations
B
Alabama 8/2/2024
B
Mississippi 8/2/2024
IA
Alabama 8/2/2024
B
North Carolina 8/2/2024
B
Arizona 10/22/2024
B
South Carolina 9/9/2024
B
Florida 8/2/2024
B
Tennessee 8/2/2024
B
Georgia 9/9/2024
B
Texas 10/22/2024
B
Illinois 10/29/2024
IA
Texas 10/24/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 8/2/2024
B
Registered with this firm since 8/2/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/23/2024 - 08/02/2024 | BIRMINGHAM, AL | |
B | 11/15/2023 - 08/02/2024 | BIRMINGHAM, AL |
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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.