Richard D. Feldmann
Professional summary
Richard Davis Feldmann was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Richard had worked at 4 firms, which includes DINOSAUR FINANCIAL GROUP L.L.C, MCGINN SMITH & CO. INC., UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - June 3, 2010
DINOSAUR FINANCIAL GROUP, L.L.C
July 25, 1987 - December 31, 2009
MCGINN, SMITH & CO., INC.
May 6, 1986 - July 6, 1987
UBS FINANCIAL SERVICES INC.
September 22, 1983 - June 27, 1986
KIDDER, PEABODY & CO. 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
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
