Richard P. Weissman
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 Phillip Weissman, who also goes by Rich Weissman, Richie Weissman, Rick Weissman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 5 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2008 - April 19, 2013
GLEACHER & COMPANY SECURITIES, INC.
June 10, 2008 - October 16, 2008
BROADPOINT DESCAP
December 12, 1994 - May 13, 2008
NATWEST MARKETS SECURITIES INC.
May 11, 1989 - September 12, 1994
NOMURA SECURITIES INTERNATIONAL, INC.
October 22, 1986 - April 1, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
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 8
Date: 5/19/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GLEACHER & COMPANY SECURITIES, INC.
CRD#: 298 / SEC#: , 8-2018
Contact information
Documents
Disclosures
| Regulatory Event | 33 |
| Civil Event | 1 |
| Arbitration | 10 |
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.
