Richard T. Bredhoff
Professional summary
Richard Theodore Bredhoff 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 7 firms, which includes EARNHARDT CO. INC., WALSH MANNING SECURITIES LLC, J. P. GIBBONS & CO. INC., NEEDHAM & COMPANY LLC, DB ALEX. BROWN LLC, MORGAN STANLEY DW INC., REFCO SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1998 - October 16, 2000
EARNHARDT CO., INC.
November 18, 1997 - January 30, 1998
WALSH MANNING SECURITIES, LLC
August 27, 1997 - November 20, 1997
J. P. GIBBONS & CO., INC.
November 8, 1996 - May 14, 1997
NEEDHAM & COMPANY, LLC
September 8, 1989 - July 3, 1995
DB ALEX. BROWN LLC
April 7, 1987 - September 20, 1989
MORGAN STANLEY DW INC.
October 22, 1985 - March 20, 1987
REFCO SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 4/25/1986
Foreign Currency Options ExaminationSeries 5
Date: 3/21/1986
Interest Rate Options ExaminationSeries 8
Date: 7/11/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EARNHARDT CO., INC.
CRD#: 36209 / SEC#: , 8-47056
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LONERGAN, EDMOND LAURENCE | SHAREHOLDER | |
| NICOLAOU, NICHOLAS | SHAREOWNER | 2901449 |
| SPATOLA, NICK J | SHAREOWNER | 3053271 |
| FAVOR, RONALD SR | SHAREOWNER | 2934119 |
| BREDHOFF, RICHARD THEODORE | PRESIDENT, CCO, CFO, CROP, SROP | 1425420 |
| GILBURD, MICHAEL SIDNEY | CHAIRMAN AND CEO | 1299254 |
| POSSES, EVAN JONATHAN | MANAGING DIRECTOR | 2257185 |
Red Flags
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