Richard S. Ouaknine
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 Solomon Ouaknine was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2009 - December 15, 2009
AXIS THOUGHT CAPITAL, LLC
February 22, 2001 - January 9, 2002
EASTBROOK CAPITAL GROUP LLC
January 15, 1999 - November 11, 1999
SANDS BROTHERS & CO., LTD.
January 30, 1991 - October 6, 1998
SANDS BROTHERS & CO., LTD.
May 4, 1989 - December 20, 1990
RODMAN & RENSHAW INC.
December 19, 1988 - February 17, 1989
MADISON CHAPIN ASSOCS., INC.
October 21, 1988 - January 3, 1989
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AXIS THOUGHT CAPITAL, LLC
CRD#: 147507 / SEC#: , 8-67909
Contact information
Documents
Red Flags
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