Richard A. Hollander
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 Alan Hollander, who also goes by Richard Allan Hollander, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2005 - December 31, 2018
HOLLANDER CAPITAL MANAGEMENT, INC.
February 23, 2000 - March 31, 2005
RBC CAPITAL MARKETS, LLC
July 3, 1998 - March 31, 2005
RBC CAPITAL MARKETS, LLC
July 31, 1993 - June 30, 1998
CITIGROUP GLOBAL MARKETS INC.
April 30, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
November 20, 1985 - May 13, 1993
PRUDENTIAL EQUITY GROUP, 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
Series 8
Date: 11/22/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HOLLANDER CAPITAL MANAGEMENT, INC.
CRD#: 134858 / SEC#:
Contact information
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.
