Richard Loebig
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 Loebig, who also goes by Richard Alan Loebig, Richard Loebig, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3 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 11, 2014 - May 16, 2018
COMMONWEALTH AUSTRALIA SECURITIES LLC
August 6, 2010 - May 13, 2014
J.P. MORGAN SECURITIES LLC
August 6, 2010 - May 13, 2014
J.P. MORGAN SECURITIES LLC
December 13, 2007 - April 7, 2010
JANUS HENDERSON DISTRIBUTORS US LLC
December 1, 2006 - April 7, 2010
INTECH
December 1, 2005 - February 17, 2006
FRANKLIN DISTRIBUTORS, LLC
April 23, 2004 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
June 20, 1985 - July 21, 1986
J.J.B. HILLIARD, W.L. LYONS, LLC
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
COMMONWEALTH AUSTRALIA SECURITIES LLC
CRD#: 136321 / SEC#: , 8-66998
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| LAWRENCE, LARRY O | CEO | 4237420 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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