Richard N. Krause
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 Norman Krause was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2014 - June 22, 2015
ONEIDA WEALTH MANAGEMENT, INC.
October 18, 2013 - August 7, 2014
CADARET, GRANT & CO., INC.
July 19, 2012 - October 24, 2013
PRUCO SECURITIES, LLC.
October 30, 1986 - November 19, 1990
G. R. PHELPS & CO., 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
Current Firm
ONEIDA WEALTH MANAGEMENT, INC.
CRD#: 167907 / SEC#: 801-79875, 8-69310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITY BANK, N.A. | NATIONAL BANK | |
| BADER, THOMAS JOSEPH | PRESIDENT, DIRECTOR | 1282398 |
| CATANZARITA, JOHN FRANCES | DIRECTOR | 6197798 |
| DURKEE, DERESA FISCHER | CFO | 6198032 |
| HASKELL, JOHN EDWARD | DIRECTOR | 6197932 |
| JAYNES, CHASITY MAUREEN | DIRECTOR, COO (02/2013), CCO (06/2015) & GSP | 2638624 |
| KALLET, MICHAEL ROBERT | CHAIRMAN | 6198029 |
| MORISSEAU, PIERRE JOSEPH | DIRECTOR | 6197931 |
| MYERS, RICHARD BONKE | DIRECTOR | 6197793 |
| STICKELS, ERIC EUGENE | VICE CHAIRMAN | 6197806 |
| ZIELASKO, BRETT MICHAEL | DIRECTOR | 6306613 |
Red Flags
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