Richard L. Sandor
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 Laurence Sandor was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 1999 - December 31, 2001
ROSENTHAL COLLINS SECURITIES, L.L.C
April 4, 1994 - January 6, 1998
CF PRODUCTS INCORPORATED
January 24, 1992 - March 19, 1993
KIDDER, PEABODY & CO. INCORPORATED
October 29, 1984 - March 27, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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
ROSENTHAL COLLINS SECURITIES, L.L.C
CRD#: 41915 / SEC#: , 8-49629
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSENTHAL COLLINS HOLDINGS, L.L.C. | DIRECT OWNER | |
| BYRNE, ROBERT JAMES | MUNICIPAL PRINCIPAL, GENERAL PRINCIPAL OPERATIONS OPTIONS PRINCIPAL | 4421288 |
| OSMANSKI, PETER ANTHONY | GENERAL PRINCIPAL OPTION PRINCIPAL MUNICIPAL PRINCIPAL | 2217490 |
| SPANIAK, GEORGE NICHOLAS JR | FINANCIAL & OPERATIONS PRINCIPAL | 2171494 |
| WALL, THOMAS JEROME | PRESIDENT, GENERAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL | 1188640 |
Disclosures
| Regulatory Event | 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.
