Richard H. Levy
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 Howard Levy MR., who also goes by Richard Howard Levy, 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, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2003 - April 20, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
September 26, 2003 - December 17, 2003
SCHONFELD SECURITIES, LLC
July 22, 2003 - September 5, 2003
NEWOAK CAPITAL MARKETS LLC
November 19, 2002 - July 11, 2003
MAXIM GROUP LLC
March 25, 2002 - June 12, 2002
BMO CAPITAL MARKETS CORP.
June 28, 2000 - August 24, 2001
CIBC WORLD MARKETS CORP.
April 6, 1998 - May 30, 2000
MORGAN STANLEY & CO. LLC
February 25, 1997 - March 18, 1998
PERSHING LLC
February 24, 1992 - February 25, 1997
CREDIT SUISSE SECURITIES (USA) LLC
May 31, 1991 - February 27, 1992
SALOMON BROTHERS INC.
December 12, 1989 - May 13, 1991
BALIS & ZORN INC.
April 29, 1987 - February 1, 1989
GOLDMAN SACHS & CO. 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
Series 55
Date: 6/10/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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