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Richard H. Bach

Some features on this profile are disabled
CRD#: 1011097
RB

Professional summary

Richard Hans Bach was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Richard had worked at 9 firms, which includes WESTOR CAPITAL GROUP INC., WHITE PACIFIC SECURITIES INC., ALEXANDER WESCOTT & CO. INC., INVESTORS CENTER INC., DONALD & CO. SECURITIES INC., TRAUBNER BACH CO. INC., S. D. COHN & CO., GATTINI & CO., UNIFIED SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 8, 2003 - September 15, 2015

WESTOR CAPITAL GROUP, INC.

BD
CRD#: 103823
FORT LAUDERDALE, FL
Past

January 22, 2003 - July 25, 2003

WHITE PACIFIC SECURITIES, INC.

BD
CRD#: 42505
SAN FRANCISCO, CA
Past

May 23, 2001 - August 14, 2002

ALEXANDER, WESCOTT, & CO., INC.

BD
CRD#: 35935
UTICA, NY
Past

August 15, 1995 - July 12, 2002

ALEXANDER, WESCOTT, & CO., INC.

BD
CRD#: 35935
UTICA, NY
Past

January 24, 1986 - February 3, 1987

INVESTORS CENTER, INC.

BD
CRD#: 14670
Past

August 27, 1985 - November 8, 1985

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
Past

December 27, 1984 - June 12, 1987

TRAUBNER BACH CO., INC.

BD
CRD#: 14368
Past

January 11, 1984 - December 10, 1984

S. D. COHN & CO.

BD
CRD#: 735
Past

August 12, 1983 - February 1, 1984

GATTINI & CO.

BD
CRD#: 10317
Past

February 4, 1982 - December 13, 1982

UNIFIED SECURITIES CORPORATION

BD
CRD#: 8024

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/26/2002
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2001
General Securities Principal Examination

Current Firm

WC
WESTOR CAPITAL GROUP, INC.
WESTOR CAPITAL GROUP, INC. | WESTOR ONLINE, INC.

CRD#: 103823 / SEC#: , 8-52311

BD
Cancelled by SEC on 12/07/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/22/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MOHAWK MANAGEMENT CORPSHARHOLDER
EVERCORE CAPITAL ADVISORS LLCSHAREHOLDER
BACH, RICHARD HANSPRESIDENT / CHIEF COMPLIANCE OFFICER / FINOP1011097

Disclosures

Regulatory Event18
Financial1

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.

Company Information

WESTOR CAPITAL GROUP, INC.

CRD#: 103823

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