Richard C. Novack
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 Clarence Novack was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 8 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2005 - May 27, 2010
ITRADEDIRECT.COM CORP
January 16, 2003 - December 31, 2006
PMK SECURITIES & RESEARCH, INC.
June 25, 2001 - February 25, 2013
GARY GOLDBERG & CO., LLC
October 20, 1994 - May 21, 2001
SOUTH BEACH SECURITIES, INC.
September 23, 1993 - August 2, 1994
EMANUEL AND COMPANY
March 4, 1988 - February 7, 1989
BILTMORE INTERNATIONAL CORPORATION
November 14, 1986 - February 9, 1987
NICHOLAS, LAWRENCE & CO. INC.
June 28, 1982 - June 12, 1990
T.R. WINSTON & COMPANY, 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
Current Firm
ITRADEDIRECT.COM CORP
CRD#: 18281 / SEC#: , 8-36398
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
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.
