Richard D. Mancuso
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 David Mancuso was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 8 firms and has passed the Series 63 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
September 26, 2012 - May 23, 2013
OAKBRIDGE FINANCIAL SERVICES
November 25, 2009 - September 30, 2010
OAKBRIDGE FINANCIAL SERVICES
July 27, 2006 - November 30, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
September 13, 2002 - May 25, 2006
NEW ENGLAND SECURITIES
April 5, 2002 - September 13, 2002
OAKBRIDGE FINANCIAL SERVICES
January 31, 2002 - March 11, 2002
PARK AVENUE SECURITIES LLC
January 16, 2001 - January 30, 2002
PARK AVENUE SECURITIES LLC
September 14, 2000 - January 3, 2001
WS GRIFFITH SECURITIES, INC.
November 1, 1999 - August 31, 2000
MML INVESTORS SERVICES, LLC
May 3, 1999 - November 2, 1999
PARK AVENUE SECURITIES LLC
April 1, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
October 12, 1983 - March 15, 1995
MONY SECURITIES CORPORATION
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
OAKBRIDGE FINANCIAL SERVICES
CRD#: 16323 / SEC#: , 8-33729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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