Richard Whitelock is a registered investment advisor, based in Emmaus, PA, with 13 years of industry experience.
Location
1134 Pennsylvania Ave, Emmaus, PA, 18049
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard works as a broker/agent servicing existing life insurance and annuity contracts. He dedicates minimal time to this activity.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
September 2024 - Present · 1 yr 8 mos
Raymond James Financial Services Advisors, INC
September 2024 - Present · 1 yr 8 mos
Previous Registrations
M Holdings Securities, INC.Broker
June 2023 - September 2024 · 1 yr 3 mos
M Holdings Securities, INC.
June 2023 - September 2024 · 1 yr 3 mos
MML Investors Services, LLC
June 2021 - June 2023 · 2 yrs
MML Investors Services, LLCBroker
April 2019 - June 2023 · 4 yrs 2 mos
Nylife Securities LLCBroker
January 2013 - April 2019 · 6 yrs 3 mos
State Registrations1 state
PA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.