Richard S. Wadipian
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 Scott Wadipian was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2011 - March 30, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
February 26, 2010 - September 29, 2011
MML INVESTORS SERVICES, LLC
April 8, 2009 - September 18, 2009
MSI FINANCIAL SERVICES, INC.
March 14, 2002 - March 19, 2002
AVALON RESEARCH GROUP, INC.
October 13, 1998 - April 6, 2000
ON-SITE TRADING, INC.
May 20, 1997 - January 29, 1998
M. A. BERMAN CO.
June 7, 1996 - May 14, 1997
AVALON RESEARCH GROUP, INC.
June 27, 1994 - February 28, 1996
M. A. BERMAN CO.
March 27, 1990 - December 19, 1994
AUSTIN SECURITIES, INC.
June 30, 1989 - October 19, 1989
LADENBURG THALMANN & CO. INC.
May 25, 1988 - July 15, 1989
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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: 11/20/1998
Limited Representative-Equity Trader ExamCurrent Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
