Richard S. Ginsberg
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1997 - July 16, 1998
THE HAMILTON-SHEA GROUP, INC.
September 27, 1996 - October 18, 1996
JOSEPH ROBERTS & CO., INC.
August 2, 1996 - September 24, 1996
FIRST SECURITY INVESTMENTS, INC.
April 21, 1993 - June 28, 1996
ROYAL PALM INVESTMENTS, LTD.
April 16, 1992 - July 9, 1992
SUNPOINT SECURITIES, INC.
October 14, 1991 - December 6, 1991
FIRST AFFILIATED SECURITIES
June 21, 1991 - August 20, 1991
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 6, 1989 - June 21, 1991
PRUDENTIAL EQUITY GROUP, LLC
March 11, 1988 - November 15, 1989
CIBC WORLD MARKETS CORP.
February 27, 1987 - March 18, 1988
J. B. HANAUER & CO.
June 26, 1986 - March 13, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 26, 1986 - March 28, 1987
EQUITABLE ADVISORS, 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
Current Firm
THE HAMILTON-SHEA GROUP, INC.
CRD#: 37526 / SEC#: , 8-47829
Contact information
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.
