Richard S. Nalbandian
Professional summary
Richard S Nalbandian is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in Winchester, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard S Nalbandian's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2009 - Present
HEROLD & LANTERN INVESTMENTS, INC.
September 24, 1987 - December 31, 2008
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
(2/12/2009)
(1/2/2009)
(1/2/2009)
(1/2/2009)
(1/2/2009)
(1/2/2009)
(1/6/2009)
(1/9/2009)
(1/2/2009)
(1/2/2009)
(1/2/2009)
(1/2/2009)
(1/2/2009)
(1/2/2009)
(4/6/2009)
(8/22/2024)
(1/2/2009)
(1/2/2009)
(1/2/2009)
(10/23/2014)
(1/9/2009)
Exams
FINRA
Current Firm
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
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.
