Richard M. Lembach
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 Michael Lembach was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 63, Series 52TO, Series 7TO, Series 79TO, SIE, Series 3, Series 5, Series 15, Series 7, Series 14, Series 24, Series 4 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
January 18, 2023 - April 21, 2023
GOODFILL USA, LLC
February 4, 2019 - August 7, 2020
SMBC NIKKO SECURITIES CANADA, LTD.
December 11, 2012 - August 6, 2020
SMBC NIKKO SECURITIES AMERICA, INC.
January 20, 2006 - September 7, 2011
MIZUHO SECURITIES USA LLC
October 20, 1993 - January 17, 2006
VECTORGLOBAL WMG
March 31, 1987 - October 6, 1993
DAIWA CAPITAL MARKETS AMERICA INC.
March 22, 1984 - April 15, 1987
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/18/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/18/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/18/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 1/8/1985
Interest Rate Options ExaminationSeries 15
Date: 11/5/1984
Foreign Currency Options ExaminationCurrent Firm
GOODFILL USA, LLC
CRD#: 317610 / SEC#: , 8-70871
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOODFILL, LLC | SOLE MEMBER | |
| ZAVATTERO, JEFFREY JOSEPH | CEO & CCO | 4583685 |
Red Flags
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