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Richard V. Watkins

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CRD#: 1219885
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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 Valentine Watkins was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 5 firms and has passed the Series 24 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 10, 2008 - May 20, 2014

SAPENO INC.

BD
CRD#: 124769
LONDON,
Past

August 18, 1992 - June 3, 1998

BBVA SECURITIES INC.

BD
CRD#: 27060
NEW YORK, NY
Past

April 21, 1988 - May 22, 1989

BURNS FRY INC

BD
CRD#: 7146
NEW YORK, NY
Past

December 15, 1986 - April 21, 1988

HOARE GOVETT INCORPORATED

BD
CRD#: 10882
Past

August 13, 1984 - April 1, 1986

UBS PHILLIPS & DREW INTERNATIONAL LTD

BD
CRD#: 11600

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 24
Date: 7/28/1987
General Securities Principal Examination

Current Firm

SI
SAPENO INC.
LIABILITY SOLUTIONS INC. | SAPENO INC. | LIABSOL INC.

CRD#: 124769 / SEC#: , 8-65721

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
6 Derby Street, London, W1J 7AD
Mailing Address
6 Derby Street, London, W1J 7AD
Phone number
44 7951 588 928
Established
New York since 07/12/2002
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SAPENO PARTNERS LLPOWNER
GENDRON, KAREN MARIEFINOP1503330
MALPAS, RICHARDCEO AND CCO2282527

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.

Company Information

SAPENO INC.

CRD#: 124769

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