Richard R. Jeffrey
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 Raught Jeffrey JR, who also goes by Rick Jeffrey, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 12 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 24, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2024 - June 8, 2026
IDB CAPITAL CORP.
June 22, 2017 - April 20, 2022
WEILD & CO.
April 16, 2013 - June 30, 2015
HEADWATERS BD, LLC
April 4, 2011 - May 7, 2012
GUGGENHEIM SECURITIES, LLC
November 15, 2010 - March 22, 2011
CANTOR FITZGERALD & CO.
February 22, 2010 - October 4, 2010
KEEFE, BRUYETTE & WOODS, INC.
June 25, 2008 - February 9, 2010
KNIGHT LIBERTAS LLC
November 12, 1992 - June 13, 2008
J.P. MORGAN SECURITIES LLC
April 25, 1989 - November 27, 1992
LIT AMERICA, INC.
May 6, 1988 - April 8, 1989
QUADREX SECURITIES CORPORATION
February 21, 1987 - March 9, 1987
BERLIND SECURITIES INC.
February 21, 1987 - April 19, 1988
FREIMARK BLAIR & COMPANY, INC.
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
IDB CAPITAL CORP.
CRD#: 106032 / SEC#: , 8-53000
Contact information
FINRA licenses (29 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ISRAEL DISCOUNT BANK OF NEW YORK | SOLE SHAREHOLDER | |
| CASE, LESLIE KATHRYN | SECRETARY | 6058280 |
| CLANCY, PATRICIA ANNE | CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 2753700 |
| FRAHER, NANCY ANN | DIRECTOR | 6132794 |
| GRANT, EDMOND F | DIRECTOR | 4058518 |
| KIM, EDWARD SANG | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6702617 |
| POLSHIKOV, ALEX ROSS | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND INTERIM CHAIRMAN OF THE BOARD | 5118208 |
| ROBERTS, DANIEL G | DIRECTOR | 6986015 |
| TREBLE, TIMOTHY | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 1699773 |
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.
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