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RK

Richard D. Kushnir

Some features on this profile are disabled
CRD#: 1324068
RK

Professional summary

Richard Daniel Kushnir was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Richard had worked at 11 firms, which includes SAXONY SECURITIES INC., FORESIGHT INVESTMENTS LLC, JERSEY SHORE TRADING GROUP INC., PHILLIP LOUIS TRADING INC., SHAMROCK PARTNERS LTD, LISS FINANCIAL SERVICES, HAYES ROGERS INC., R. D. KUSHNIR & CO., KESSLER ASHER CLEARING L.P., LIT AMERICA INC., RIALCOR/SHATKIN SECURITIES CORP..

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

August 2, 2016 - November 26, 2021

SAXONY SECURITIES, INC.

BD
CRD#: 115547
Northbrook, IL
Past

January 11, 2005 - August 2, 2016

FORESIGHT INVESTMENTS, LLC

BD
CRD#: 132644
NORTHBROOK, IL
Past

September 30, 2003 - July 20, 2005

JERSEY SHORE TRADING GROUP INC.

BD
CRD#: 47440
RED BANK, NJ
Past

February 21, 2002 - September 3, 2003

PHILLIP LOUIS TRADING, INC.

BD
CRD#: 19378
RED BANK, NJ
Past

November 26, 2001 - January 23, 2002

SHAMROCK PARTNERS, LTD

BD
CRD#: 23955
MEDIA, PA
Past

September 15, 1998 - December 3, 2001

LISS FINANCIAL SERVICES

BD
CRD#: 21950
MILWAUKEE, WI
Past

November 10, 1992 - April 19, 1996

HAYES, ROGERS, INC.

BD
CRD#: 30659
Past

September 28, 1990 - October 7, 1998

R. D. KUSHNIR & CO.

BD
CRD#: 24013
NORTHBROOK, IL
Past

February 8, 1989 - December 20, 1994

KESSLER ASHER CLEARING L.P.

BD
CRD#: 19493
CHICAGO, IL
Past

June 9, 1988 - May 26, 1989

LIT AMERICA, INC.

BD
CRD#: 22381
Past

February 27, 1985 - June 9, 1988

RIALCOR/SHATKIN SECURITIES CORP.

BD
CRD#: 15930

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

State Security Law Exam
RR
Series 63
Date: 10/12/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/16/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 2/1/1991
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/4/1992
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/15/1985
General Securities Principal Examination

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
CLARK, BRIAN LESLEYCFO4802438
GRIFFARD, RICHARD EDWARDPRESIDENT/CEO/DIRECTOR2472251
KLUMP, RYAN CHRISTOPHERCOO4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTVICE PRESIDENT6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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

SAXONY SECURITIES, INC.

CRD#: 115547

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