Richard S. Lenoble
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 Steven Lenoble CPA, who also goes by Richard Steven Lenoble, Rick Lenoble, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1998. Richard had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2008 - December 31, 2010
KOVACK SECURITIES INC.
December 21, 2007 - December 31, 2010
KOVACK ADVISORS, INC.
May 18, 2007 - November 26, 2007
JESUP & LAMONT ADVISORS
April 20, 2007 - November 26, 2007
EMPIRE FINANCIAL GROUP, INC.
January 11, 2005 - December 31, 2006
INVESTORS CAPITAL CORP.
March 17, 2004 - December 31, 2004
EASTERN POINT ADVISORS INC.
January 30, 2002 - December 31, 2006
INVESTORS CAPITAL CORP.
September 30, 1998 - July 3, 2001
AVANTAX INVESTMENT SERVICES, INC.
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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
