Richard Garber
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 Garber, who also goes by Richard Alan Garber, Rick Garber, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 12 firms and has passed the Series 7TO, SIE, Series 52, Series 7 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
July 29, 2019 - December 31, 2022
VISION FINANCIAL MARKETS LLC
August 8, 2013 - July 13, 2016
ADIRONDACK TRADING GROUP LLC
March 23, 2004 - July 13, 2016
RIDGEWAY & CONGER, INC.
March 18, 2003 - October 6, 2015
CLAYTON LOWELL, & CONGER INC
July 15, 1991 - September 12, 1991
CANTELLA & CO., INC.
August 17, 1990 - July 2, 1991
FLAGSHIP SECURITIES, INC.
November 20, 1989 - April 4, 1990
CADARET, GRANT & CO., INC.
March 2, 1988 - May 20, 1989
BAIRD, PATRICK & CO., INC.
January 22, 1986 - March 8, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
September 9, 1985 - January 24, 1986
GLEACHER & COMPANY SECURITIES, INC.
October 10, 1983 - September 27, 1985
LEHMAN BROTHERS INC.
September 10, 1982 - October 24, 1983
ADVEST, 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
Series 7TO
Date: 7/29/2019
General Securities Representative ExaminationCurrent Firm
VISION FINANCIAL MARKETS LLC
CRD#: 142271 / SEC#: , 8-67447
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
Disclosures
| Regulatory Event | 32 |
Red Flags
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