Richard Carman Fired from Ameriprise
Richard Carman (CRD #: 2002971) has been fired from Ameriprise Financial Services. This is according to his BrokerCheck record, accessed on June 23, 2022. Keep reading to learn about his earlier disclosures.
On April 9, 2022, Ameriprise Financial Services fired Richard Carman following allegations that he violated the company policy related to the disclosure of tax liens.
He has three tax liens on his record, which total approximately $974,582.33.
Richard Carman has also been fired from LPL Financial, following allegations that he exercised time and price discretion without written authorization resulting in a transaction after a customer’s death. Time and price discretion is a type of short-term trading discretion that typically expires at the end of the trading day, as described in FINRA Rule 3260.
Richard Carman has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
- Series 24 General Securities Principals Examination
Richard Carman has registered with the following firms:
- Ameriprise Financial Services (CRD #: 6363)
- LPL Financial (CRD #: 6413)
- Securian Financial Services (CRD #: 15296)
Kurta Law Can Help
If you worked with Richard Carman and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.