Richard W. Nefzer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard William Nefzer, who also goes by Rick Nefzer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 14 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2019 - October 22, 2020
CABOT LODGE SECURITIES LLC
November 7, 2019 - July 20, 2020
PURSHE KAPLAN STERLING INVESTMENTS
April 5, 2017 - October 31, 2018
SECURIAN FINANCIAL SERVICES, INC.
February 6, 2014 - March 18, 2016
CAPITAL BROKERAGE CORPORATION
January 2, 2008 - March 16, 2012
CAPITAL BROKERAGE CORPORATION
December 31, 2000 - January 10, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 31, 2000 - December 31, 2000
LINCOLN RETIREMENT ADVISORS, INC.
November 21, 1997 - May 4, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 21, 1997 - May 4, 2000
OSAIC FA, INC.
March 6, 1995 - December 31, 1995
B. C. ZIEGLER AND COMPANY
November 20, 1992 - December 6, 1994
FIMCO SECURITIES GROUP, INC.
February 8, 1988 - November 18, 1992
JOHN HANCOCK DISTRIBUTORS LLC
February 2, 1987 - January 20, 1988
G. R. PHELPS & CO., INC.
August 18, 1983 - November 18, 1992
JOHN HANCOCK DISTRIBUTORS LLC
February 18, 1982 - March 28, 1983
PRUCO SECURITIES, LLC.
November 20, 1981 - February 22, 1982
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
