Richard H. Lemmon
Professional summary
Richard Horatio Lemmon JR is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Horatio Lemmon JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 1998 - Present
PORT SECURITIES, INC.
Office #1: 2717 W. Coast Hwy, Newport Beach, CA 92663Office #2: 2717 W Coast Hwy, Newport Beach, CA 92663February 16, 2005 - September 1, 2005
NEWPORT COAST SECURITIES, INC.
September 2, 1997 - August 10, 1998
FIRST ALLIED SECURITIES, INC.
January 5, 1995 - November 5, 1997
NEWPORT COAST SECURITIES, INC.
August 17, 1990 - January 11, 1995
MORGAN STANLEY DW INC.
March 21, 1989 - April 30, 1991
EMPIRE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
PORT SECURITIES, INC.
CRD#: 43936 / SEC#: , 8-50492
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEMMON, RICHARD HORATIO JR | PRESIDENT, CFO,CCO & SECRETARY | 1874827 |
Disclosures
| Regulatory Event | 1 |
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