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Richard S. Ginsberg

Some features on this profile are disabled
CRD#: 1516467
RG

Professional summary

Richard Scott Ginsberg was barred by the SEC 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 1986. Prior to being barred, Richard had worked at 12 firms, which includes THE HAMILTON-SHEA GROUP INC., JOSEPH ROBERTS & CO. INC., FIRST SECURITY INVESTMENTS INC., ROYAL PALM INVESTMENTS LTD., SUNPOINT SECURITIES INC., FIRST AFFILIATED SECURITIES, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, PRUDENTIAL EQUITY GROUP LLC, CIBC WORLD MARKETS CORP., J. B. HANAUER & CO., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.

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

January 23, 1997 - July 16, 1998

THE HAMILTON-SHEA GROUP, INC.

BD
CRD#: 37526
POMPANO BEACH, FL
Past

September 27, 1996 - October 18, 1996

JOSEPH ROBERTS & CO., INC.

BD
CRD#: 15971
POMPANO BEACH, FL
Past

August 2, 1996 - September 24, 1996

FIRST SECURITY INVESTMENTS, INC.

BD
CRD#: 24035
KINGSTON, PA
Past

April 21, 1993 - June 28, 1996

ROYAL PALM INVESTMENTS, LTD.

BD
CRD#: 28761
GREEN ACRES, FL
Past

April 16, 1992 - July 9, 1992

SUNPOINT SECURITIES, INC.

BD
CRD#: 25442
LONGVIEW, TX
Past

October 14, 1991 - December 6, 1991

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

June 21, 1991 - August 20, 1991

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

November 6, 1989 - June 21, 1991

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 11, 1988 - November 15, 1989

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 27, 1987 - March 18, 1988

J. B. HANAUER & CO.

BD
CRD#: 6958
Past

June 26, 1986 - March 13, 1987

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
Past

June 26, 1986 - March 28, 1987

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627

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: 4/16/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/25/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TH
THE HAMILTON-SHEA GROUP, INC.
DIVERSIFIED CAPITAL MARKETS | THE HAMILTON-SHEA GROUP, INC. | QUANTUM CAPITAL CORPORATION DBA DIVERSIFIED CAPITAL MARKETS | QUANTUM CAPITAL CORPORATION | DIVERSIFIED CAPITAL MARKETS, INC.

CRD#: 37526 / SEC#: , 8-47829

BD
Cancelled by SEC on 09/22/1998
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 10/31/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

THE HAMILTON-SHEA GROUP, INC.

CRD#: 37526

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