Richard S. Striefler
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 Steven Striefler was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 8 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2011 - June 7, 2012
AURIGA USA, LLC
June 6, 2011 - August 16, 2011
G-2 TRADING,LLC
March 3, 2009 - December 1, 2009
HIGHLANDER CAPITAL GROUP, INC.
March 28, 2005 - April 25, 2007
UBS SECURITIES LLC
February 17, 2005 - May 25, 2005
UBS CAPITAL MARKETS L.P.
March 17, 2003 - November 10, 2004
UBS CAPITAL MARKETS L.P.
July 1, 1998 - March 12, 2003
COWEN AND COMPANY
August 10, 1989 - July 1, 1998
FINANCIAL SQUARE PARTNERS
April 23, 1986 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
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 55
Date: 9/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
AURIGA USA, LLC
CRD#: 121731 / SEC#: , 8-65441
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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