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Richard Theodore Bredhoff

CRD# 1425420·Registered 1985 - 2000
Barred: Richard Theodore Bredhoff was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Richard Theodore Bredhoff was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1985 - 2000. Richard had worked at 7 firms and has passed the Series 63, Series 3, Series 15, Series 5, Series 7, Series 27, Series 24, Series 8 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

EARNHARDT CO., INC.·CRD# 36209
BD
Westfield, NJ
May 1, 1998 - October 16, 2000
WALSH MANNING SECURITIES, LLC·CRD# 30826
BD
November 18, 1997 - January 30, 1998
J. P. GIBBONS & CO., INC.·CRD# 38850
BD
New York, NY
August 27, 1997 - November 20, 1997
NEEDHAM & COMPANY, LLC·CRD# 16360
BD
New York, NY
November 8, 1996 - May 14, 1997
DB ALEX. BROWN LLC·CRD# 17790
BD
Baltimore, MD
September 8, 1989 - July 3, 1995
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
April 7, 1987 - September 20, 1989
REFCO SECURITIES, LLC·CRD# 14094
BD
October 22, 1985 - March 20, 1987

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Current Firm

EC
EARNHARDT CO., INC.

EARNHARDT CO., INC.

CRD#: 36209 / SEC#: 8-47056
BD
Terminated by SEC on 12/22/2000

Contact Information

Established

New Jersey since 07/16/1992

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
LONERGAN, EDMOND LAURENCESHAREHOLDER—
NICOLAOU, NICHOLASSHAREOWNER2901449
SPATOLA, NICK JSHAREOWNER3053271
FAVOR, RONALD SRSHAREOWNER2934119
BREDHOFF, RICHARD THEODOREPRESIDENT, CCO, CFO, CROP, SROP1425420
GILBURD, MICHAEL SIDNEYCHAIRMAN AND CEO1299254
POSSES, EVAN JONATHANMANAGING DIRECTOR2257185

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1985About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Dec 1989About the Series 3 exam

Series 15 — Foreign Currency Options Examination

Passed Apr 1986

Series 5 — Interest Rate Options Examination

Passed Mar 1986

Series 7 — General Securities Representative Examination

Passed Oct 1985About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Dec 1998About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Oct 1986About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Jul 1986

Series 4 — Registered Options Principal Examination

Passed Jan 1986About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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