Richard W. Granahan
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 Granahan was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1984. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 87, Series 24, Series 14, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2009 - November 5, 2025
LAMPERT CAPITAL MARKETS INC.
March 11, 2008 - September 15, 2009
GILFORD FINANCIAL CORP.
January 11, 2000 - September 22, 2009
BARRETT SECURITIES INC.
March 11, 1998 - September 15, 2009
GILFORD SECURITIES INCORPORATED
March 15, 1995 - February 12, 1998
REPUBLIC NEW YORK SECURITIES CORPORATION
April 5, 1993 - January 11, 1995
INSTITUTIONAL DIRECT INC.
August 5, 1991 - January 11, 1995
J.P. MORGAN CLEARING CORP.
November 28, 1984 - January 11, 1995
J.P. MORGAN SECURITIES LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 12
Date: 4/25/1987
NYSE Branch Manager ExaminationCurrent Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| 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.
