Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Alan McGimsey is a registered investment advisor representative with Concourse Financial Group Securities, Inc. Richard has been in the securities industry since 1984 and has held various positions at different firms including Colonial Brokerage, Inc., Compass Brokerage, Inc., UBS Financial Services Inc., J.C. Bradford & Co., Smith Barney Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc, and Thomas Bryan & Associates, Inc.. Richard holds the Series 3, 7, and 63 licenses as well as the SIE and Series 65. Richard specializes in financial planning, pension consulting, and portfolio management. He provides advisory services to a wide range of clients including individuals, high-net-worth individuals, corporations, investment companies, charitable organizations, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
10/27/2009 - Present
Concourse Financial Group Securities, Inc. (Birmingham AL)
AL
05/22/2007 - 10/20/2009
COLONIAL BROKERAGE, INC. (VESTAVIA HILLS AL)
AL
04/07/2006 - 12/18/2006
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
NJ
08/14/2000 - 04/11/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
08/15/1997 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
07/31/1993 - 08/22/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/12/1984 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
05/30/1984 - 12/22/1987
THOMAS BRYAN & ASSOCIATES, INC.
IA
Issued 06/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/1984
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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