Richard W. Bennett
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 William Bennett, who also goes by Richard Henry Bennett, Richard W Bennett, Richard Henry Benotti, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 10 firms and has passed the Series 63, Series 55, Series 1 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
November 26, 2012 - January 30, 2014
MKM PARTNERS LLC
September 6, 2005 - November 19, 2012
ROCHDALE SECURITIES LLC
March 20, 2003 - September 7, 2005
CREDIT AGRICOLE SECURITIES (USA) INC.
October 29, 1985 - March 24, 2003
BMO CAPITAL MARKETS CORP.
November 20, 1984 - July 5, 1985
LEHMAN BROTHERS INC.
November 22, 1977 - March 23, 1984
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
June 10, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
March 24, 1975 - June 6, 1975
BERNARD HEROLD & CO., INC.
April 11, 1972 - July 18, 1975
MONNESS, WILLIAMS & SIDEL
April 15, 1969 - April 13, 1972
HEROLD KASTOR & GERALD INCORPORATED
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: 8/11/2003
Limited Representative-Equity Trader ExamSeries 1
Date: 4/11/1969
Registered Representative ExaminationCurrent Firm
MKM PARTNERS LLC
CRD#: 114666 / SEC#: , 8-53436
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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