Richard R. Jeffrey
Professional summary
Richard Raught Jeffrey JR, who also goes by Rick Jeffrey, is a registered financial professional currently at IDB CAPITAL CORP. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 12 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Raught Jeffrey JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2024 - Present
IDB CAPITAL CORP.
Office #1: 1114 Avenue Of The Americas, New York, NY 10036June 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
FINRA
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 |
| ROBERTS, DANIEL G | DIRECTOR | 6986015 |
| SAVIO, KENNETH JOSEPH | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 1428851 |
| SAVIO, KENNETH JOSEPH | INTERIM CHAIRMAN OF THE BOARD | 1428851 |
| TREBLE, TIMOTHY | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 1699773 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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