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Richard Lucian Giffin

Amuni Financial, Inc.

Little Rock, AR

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Current Employers
Amuni Financial, Inc.

720 Second Ave S, St Petersburg, FL 33701 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2025-01-01
  • AR RA
    APPROVED
    Since 2025-01-01

Branch Locations

1501 N University Ave Suite 330, Little Rock, AR 72207 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
American Municipal Securities, Inc. Little Rock AR 01/1993 Present
  • 01/1993 → Present
    American Municipal Securities, Inc.
    Little Rock, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-19
S63 Uniform Securities Agent State Law Examination 1989-03-02
  • S65 Uniform Investment Adviser Law Examination
    2021-04-19
  • S63 Uniform Securities Agent State Law Examination
    1989-03-02
Other Names
  • Rick Giffin

View on SEC IAPD

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Other Offices

EDWARD JONES · LITTLE ROCK, AR
ARVEST WEALTH MANAGEMENT · LITTLE ROCK, AR
STATE FARM INVESTMENT MANAGEMENT CORP. · Little Rock, AR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Little Rock, AR
RAYMOND JAMES & ASSOCIATES, INC. · LITTLE ROCK, AR
UNITED CAPITAL FINANCIAL ADVISORS · LITTLE ROCK, AR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · LITTLE ROCK, AR
NFSG CORPORATION · LITTLE ROCK, AR

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