Richard M. Sears
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 Michael Sears was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2019 - December 7, 2020
LIFESCI CAPITAL
November 6, 2017 - June 12, 2018
SEAPORT GLOBAL SECURITIES LLC
August 19, 2013 - October 4, 2017
CANACCORD GENUITY LLC
April 18, 2013 - June 17, 2013
CLSA AMERICAS, LLC
October 25, 2012 - June 10, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
April 23, 2012 - October 5, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
May 6, 2008 - March 27, 2012
MACQUARIE CAPITAL (USA) INC.
August 30, 2006 - May 2, 2008
LEERINK PARTNERS LLC
March 22, 2006 - August 30, 2006
ROCHDALE SECURITIES LLC
June 4, 2004 - March 21, 2006
GAGNON SECURITIES, LLC
May 1, 2001 - March 9, 2004
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
November 18, 1994 - February 1, 2000
HAMBRECHT & QUIST LLC
June 14, 1994 - December 21, 1994
SBC WARBURG DILLON READ INC.
February 23, 1984 - June 13, 1994
HAMBRECHT & QUIST LLC
November 18, 1982 - January 17, 1984
CHASE SECURITIES, 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 8
Date: 6/26/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIFESCI CAPITAL
CRD#: 168404 / SEC#: , 8-69305
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
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.
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