Richard P. Poirier
Professional summary
Richard Paul Poirier JR 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 1988. Prior to being barred, Richard had worked at 3 firms, which includes TREGA SECURITIES L.L.C., LAZARD FRERES & CO. LLC, 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
July 29, 1996 - March 26, 2001
TREGA SECURITIES, L.L.C.
May 8, 1989 - July 19, 1995
LAZARD FRERES & CO. LLC
August 25, 1988 - April 15, 1989
PRUDENTIAL EQUITY GROUP, 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
TREGA SECURITIES, L.L.C.
CRD#: 39370 / SEC#: , 8-48661
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TREGA PARTNERS, LLC | OWNER | |
| MACKEY, JOSEPH JAMES JR | CFO / COMPLIANCE OFFICER & GENERAL SECURITIES PRINCIPAL | 2044888 |
Red Flags
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