Richard H. Kalina
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 Hal Kalina, who also goes by Richard Kalina, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 6 firms and has passed the Series 66, Series 63, Series 55 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
June 14, 2012 - September 11, 2013
PROFESSIONAL PLANNING SERVICES
June 6, 2012 - August 30, 2013
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
April 1, 2003 - June 26, 2012
EQUITABLE ADVISORS, LLC
October 24, 2002 - June 26, 2012
EQUITABLE ADVISORS, LLC
February 26, 2002 - June 5, 2002
DOMESTIC SECURITIES, INC.
April 12, 2000 - February 15, 2002
SCHONFELD SECURITIES, LLC
April 23, 1986 - March 31, 2000
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 55
Date: 7/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
PROFESSIONAL PLANNING SERVICES
CRD#: 152702 / SEC#: 801-71231
Contact information
Documents
Red Flags
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