Richard J. Nolan
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 Jude Nolan, who also goes by Richard J Nolan, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 14 firms and has passed the Series 63, 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
October 20, 2014 - March 2, 2015
SENTINEL BROKERS COMPANY, INC.
January 16, 2014 - August 18, 2014
THE VERTICAL GROUP
February 26, 2013 - January 22, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
August 22, 2012 - October 11, 2012
WHITAKER SECURITIES LLC
June 17, 2004 - March 29, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
November 8, 2001 - June 28, 2004
BURLINGTON CAPITAL MARKETS INC.
February 8, 2001 - November 8, 2001
SEABOARD SECURITIES, INC.
April 6, 2000 - February 1, 2001
BGC FINANCIAL, L.P.
March 9, 1994 - April 20, 2000
W.A. CAPITAL MARKETS
April 26, 1993 - December 7, 1993
HERZOG, HEINE, GEDULD, LLC
July 17, 1990 - April 27, 1993
PURCELL GRAHAM INCORPORATED
January 17, 1989 - March 8, 1990
SLS SECURITIES COMPANY
September 23, 1988 - November 7, 1988
OPPENHEIMER & CO. INC.
July 21, 1986 - July 13, 1988
MINT BROKERS
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
SENTINEL BROKERS COMPANY, INC.
CRD#: 40305 / SEC#: , 8-49005
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL BROKERS LLC | SHAREHOLDER | |
| SED CAPITAL PTE LTD | OWNER | |
| LAWLESS, JOSEPH MATHEW | CEO, CCO | 1783307 |
Disclosures
| Regulatory Event | 1 |
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.
