Richard H. Lown
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 Hans Lown was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 10, Series 9 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
June 20, 2019 - March 18, 2022
PURSHE KAPLAN STERLING INVESTMENTS
September 25, 2002 - July 6, 2017
UBS FINANCIAL SERVICES INC.
December 21, 1990 - July 6, 2017
UBS FINANCIAL SERVICES INC.
September 30, 1986 - January 4, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1983 - October 15, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 15
Date: 6/4/1987
Foreign Currency Options ExaminationSeries 5
Date: 3/2/1983
Interest Rate Options ExaminationSeries 8
Date: 12/1/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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