Richard Lede
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 Lede, who also goes by Rick Lede, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2008 - April 8, 2011
WHITAKER SECURITIES LLC
February 9, 2000 - June 12, 2009
SEABOARD SECURITIES, INC.
February 2, 1998 - April 2, 1998
DP ASSET MANAGEMENT, INC.
July 15, 1997 - January 13, 1998
1ST DISCOUNT BROKERAGE, INC.
May 17, 1995 - June 10, 1997
CROWN FINANCIAL ASSOCIATES, INC.
September 1, 1994 - November 9, 1999
SEABOARD SECURITIES, INC.
December 7, 1992 - January 11, 1994
SOUTHEAST REGIONAL SECURITIES, INC.
March 2, 1992 - April 22, 1993
CHAPDELAINE CORPORATE SECURITIES & CO
May 12, 1988 - February 19, 1992
TULLETT LIBERTY BROKERAGE INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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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