Richard J. Mish
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 Jeffrey Mish, who also goes by Richard Jeffrey Mish, Richard Mish, 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, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2018 - December 2, 2020
DAWSON JAMES SECURITIES, INC.
October 10, 2017 - December 14, 2018
GP NURMENKARI INC.
January 14, 1998 - September 23, 2008
AUGMENT SECURITIES INC.
May 22, 1985 - January 14, 1998
D. H. BLAIR & CO., INC.
April 24, 1985 - June 3, 1985
ROONEY, PACE INC.
June 4, 1984 - August 6, 1984
KUHNS BROTHERS & LAIDLAW, INC.
May 22, 1984 - January 14, 1998
D. H. BLAIR & CO., 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
Series 7TO
Date: 8/3/2022
General Securities Representative ExaminationCurrent Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
