Radcliffe S. Bent
Professional summary
Radcliffe St Aubyn Bent was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Radcliffe is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Radcliffe had worked at 13 firms, which includes JWGENESIS SECURITIES INC., NATIONAL SECURITIES CORPORATION, THE BOSTON GROUP, HAMPSHIRE SECURITIES CORPORATION, FIRST METROPOLITAN SECURITIES INC., STATE CAPITAL MARKETS CORPORATION, PACIFIC CORTEZ SECURITIES INCORPORATED, COMMONWEALTH ASSOCIATES, REICH & CO. INC., LEHMAN BROTHERS INC., BLUESTONE CAPITAL CORP., LCP CAPITAL CORP., MADISON CHAPIN ASSOCS. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 1998 - August 30, 1999
JWGENESIS SECURITIES, INC.
July 24, 1998 - September 29, 1998
NATIONAL SECURITIES CORPORATION
January 8, 1998 - July 24, 1998
THE BOSTON GROUP
July 25, 1997 - January 1, 1998
HAMPSHIRE SECURITIES CORPORATION
March 25, 1997 - July 1, 1997
FIRST METROPOLITAN SECURITIES, INC.
June 22, 1995 - October 23, 1996
STATE CAPITAL MARKETS CORPORATION
December 15, 1994 - April 19, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
July 2, 1993 - December 6, 1994
COMMONWEALTH ASSOCIATES
March 19, 1993 - May 10, 1993
REICH & CO., INC.
September 25, 1992 - January 22, 1993
LEHMAN BROTHERS INC.
September 11, 1991 - November 4, 1992
BLUESTONE CAPITAL CORP.
April 8, 1991 - August 8, 1991
LCP CAPITAL CORP.
June 5, 1990 - May 3, 1991
COMMONWEALTH ASSOCIATES
March 21, 1990 - June 29, 1990
MADISON CHAPIN ASSOCS., INC.
State Registrations and Notice Filings
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Exams
Current Firm
JWGENESIS SECURITIES, INC.
CRD#: 33832 / SEC#: , 8-46367
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
| Arbitration | 8 |
Red Flags
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