Richard C. Coppola
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 Carmine Coppola Jr, who also goes by Richard Carmine Coppola, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2017. Richard had worked at 1 firm and has passed the Series 63, SIE and Series 82 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2017 - April 10, 2019
CLARION PARTNERS SECURITIES, 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
Current Firm
CLARION PARTNERS SECURITIES, LLC
CRD#: 166384 / SEC#: , 8-69204
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLARION PARTNERS | MANAGING MEMBER | 108803 |
| ANDERSON, EVANS KEPHART | CHIEF EXECUTIVE OFFICER | 7360699 |
| PATTEN, DEIRDRE MARIAN | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL/PRINCIPAL FINANCIAL OFFICER | 1357509 |
| SILK, BARBARA | ASSISTANT TREASURER | 6697872 |
| STABLER, JOSEPH PENN | SECRETARY | 6886387 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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