RV
Richard P. Viest
TIME EQUITIES SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 1585050
RV
Professional summary
Richard Philip Viest is a registered financial professional currently at TIME EQUITIES SECURITIES LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 1 firm and has passed the Series 63, SIE and Series 22 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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Philip Viest's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 14, 2012 - Present
TIME EQUITIES SECURITIES LLC
Office #1: 55 Fifth Avenue 15th Floor, New York, NY, 10003BD
CRD#: 114422
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2016)
RR
Alaska(3/29/2018)
RR
Arizona(1/5/2016)
RR
Arkansas(3/13/2018)
RR
California(1/5/2016)
RR
Colorado(1/5/2016)
RR
Connecticut(1/5/2016)
RR
Delaware(3/27/2018)
RR
District of Columbia(3/22/2018)
RR
Florida(1/5/2016)
RR
Georgia(1/5/2016)
RR
Hawaii(4/17/2018)
RR
Idaho(1/5/2016)
RR
Illinois(1/5/2016)
RR
Indiana(3/21/2018)
RR
Iowa(3/7/2018)
RR
Kansas(3/30/2018)
RR
Kentucky(2/19/2018)
RR
Louisiana(3/12/2018)
RR
Maine(5/3/2018)
RR
Maryland(1/5/2016)
RR
Massachusetts(1/5/2016)
RR
Michigan(1/5/2016)
RR
Minnesota(3/14/2018)
RR
Mississippi(2/15/2018)
RR
Missouri(8/1/2018)
RR
Montana(8/8/2018)
RR
Nebraska(3/26/2018)
RR
Nevada(2/15/2018)
RR
New Hampshire(3/28/2018)
RR
New Jersey(1/5/2016)
RR
New Mexico(1/5/2016)
RR
New York(2/22/2012)
RR
North Carolina(1/5/2016)
RR
North Dakota(3/27/2018)
RR
Ohio(1/5/2016)
RR
Oklahoma(2/23/2018)
RR
Oregon(3/30/2018)
RR
Pennsylvania(1/5/2016)
RR
Puerto Rico(3/21/2018)
RR
Rhode Island(3/8/2018)
RR
South Carolina(1/5/2016)
RR
South Dakota(2/15/2018)
RR
Tennessee(1/5/2016)
RR
Texas(1/5/2016)
RR
Utah(1/5/2016)
RR
Vermont(1/5/2016)
RR
Virgin Islands(3/21/2018)
RR
Virginia(1/5/2016)
RR
Washington(3/8/2018)
RR
West Virginia(3/16/2018)
RR
Wisconsin(3/8/2018)
RR
Wyoming(3/21/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TE
TIME EQUITIES SECURITIES LLC
TIME EQUITIES SECURITIES LLC
CRD#: 114422 / SEC#: , 8-53420
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 Fifth Avenue 15th Floor, New York, NY, 10003
Mailing Address
55 Fifth Avenue 15th Floor, New York, NY 10003
Phone number
(212) 206-6011
Established
New York since 08/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
