Richard Horatio Lemmon Jr
Professional Summary
Richard Horatio Lemmon JR is a registered financial advisor currently at PORT SECURITIES, INC. located in Newport Beach, California. Richard is registered as a RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 53, Series 4, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
PORT SECURITIES, INC.
Contact Information
Main Address
2717 W. Coast Hwy, Newport Beach, CA 92663Mailing Address
2717 W. Coast Hwy, Newport Beach, CA 92663Phone Number
(949) 574-9286Established
California since 07/09/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (14 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEMMON, RICHARD HORATIO JR | PRESIDENT, CFO,CCO & SECRETARY | 1874827 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/17/2014)
(7/13/1998)
(3/21/2013)
(4/2/2013)
(2/6/2014)
(2/14/2014)
(3/6/2012)
(3/7/2005)
(3/28/2013)
(6/24/2013)
(6/5/2013)
(8/19/2016)
(5/21/2015)
(6/10/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Horatio Lemmon JR's CRS (Customer Relationship Summary).
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