Richard P. Simone
Professional summary
Richard Paul Simone was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Richard had worked at 6 firms, which includes RICKEL & ASSOCIATES INC., A. R. BARON & CO. INC., ALEX. BROWN & SONS INCORPORATED, LADENBURG THALMANN & CO. INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 1996 - June 2, 1997
RICKEL & ASSOCIATES, INC.
May 25, 1995 - March 4, 1996
A. R. BARON & CO., INC.
April 6, 1994 - June 15, 1995
ALEX. BROWN & SONS INCORPORATED
April 27, 1992 - November 15, 1993
LADENBURG THALMANN & CO. INC.
November 16, 1989 - May 4, 1992
LEHMAN BROTHERS INC.
May 21, 1987 - November 28, 1989
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
RICKEL & ASSOCIATES, INC.
CRD#: 7839 / SEC#: , 8-23295
Contact information
Documents
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