Leonard V. Mauck
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.
Leonard Vaughn Mauck, who also goes by Lenny Mauck, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1987. Leonard had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1999 - March 8, 2001
RICHMARK CAPITAL CORPORATION
July 6, 1999 - October 13, 1999
PREMIER CAPITAL MANAGEMENT, INC.
October 30, 1996 - June 24, 1999
WELLS FARGO CLEARING SERVICES, LLC
March 15, 1993 - October 25, 1996
RAUSCHER PIERCE REFSNES, INC.
December 15, 1987 - March 4, 1993
MORGAN STANLEY DW INC.
July 21, 1987 - December 18, 1987
BLINDER, ROBINSON & CO., 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
RICHMARK CAPITAL CORPORATION
CRD#: 43162 / SEC#: , 8-50150
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RMC 1 CAPITAL MARKETS, INC. | HOLDING COMPANY | |
| WHITE, DOYLE MARK | SECRETARY/TREASURER, DIRECTOR | 2212634 |
Disclosures
| Regulatory Event | 8 |
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.
