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RD

Richard S. Dalberth

Some features on this profile are disabled
CRD#: 1504169
RD

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 Scott Dalberth 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 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 22, 2003 - December 10, 2003

STG SECURE TRADING GROUP, INC.

BD
CRD#: 41216
BOCA RATON, FL
Past

August 4, 2003 - October 22, 2003

MILLENNIUM BROKERAGE, L.L.C.

BD
CRD#: 47728
CHATHAM, NJ
Past

May 30, 2003 - September 10, 2003

GRACE FINANCIAL GROUP LLC

BD
CRD#: 104133
SOUTHHAMPTON, NY
Past

March 6, 2003 - July 15, 2003

M. S. HOWELLS & CO.

BD
CRD#: 104100
SCOTTSDALE, AZ
Past

May 4, 2000 - June 13, 2000

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

January 11, 2000 - May 4, 2000

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

October 18, 1989 - November 26, 1990

T.R. WINSTON & COMPANY, LLC

BD
CRD#: 10571
BEDMINSTER, NJ
Past

July 28, 1986 - October 7, 1987

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/20/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 2/25/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/13/1999
General Securities Representative Examination

Current Firm

SS
STG SECURE TRADING GROUP, INC.
BUDNER SECURITIES, INC. | STG SECURE TRADING GROUP, INC. | SECURE FINANCIAL ASSETS GROUP

CRD#: 41216 / SEC#: , 8-49329

BD
Terminated by SEC on 09/15/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 04/29/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WEINER, ALAN DAVID MR.PRESIDENT2537809
SPG OPPORTUNITY FUND LTDSHAREHOLDER

Disclosures

Regulatory Event8
Arbitration2

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.

Company Information

STG SECURE TRADING GROUP, INC.

CRD#: 41216

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