Richard L. Deprospo
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 Lawrence Deprospo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 50, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2018 - April 12, 2019
BACKSTROM MCCARLEY BERRY & CO., LLC
June 21, 2013 - May 28, 2018
STERN BROTHERS & CO.
May 13, 2008 - June 26, 2013
WEDBUSH SECURITIES INC.
April 2, 2001 - April 15, 2008
E.J. DE LA ROSA & CO., INC.
October 14, 1991 - March 9, 2001
PRAGER & CO., LLC
March 30, 1984 - March 16, 1991
LEHMAN BROTHERS 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
BACKSTROM MCCARLEY BERRY & CO., LLC
CRD#: 124503 / SEC#: , 8-65679
Contact information
FINRA licenses (24 States and Territories)
Documents
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.
