RK
Richard T. Klingman
NATWEST MARKETS SECURITIES
Stamford, CT 06901
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CRD#: 1909111
RK
Professional summary
Richard Thomas Klingman, who also goes by Rick T Klingman, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick T Klingman
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Thomas Klingman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 1, 2024 - Present
NATWEST MARKETS SECURITIES INC.
Office #1: 600 Washington Boulevard, Stamford, CT 06901BD
CRD#: 11707
Stamford, CT
Past
July 1, 2013 - March 7, 2024
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
May 14, 2007 - May 29, 2013
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
September 3, 1997 - May 4, 2007
ABN AMRO INCORPORATED
BD
CRD#: 15776
NEW YORK, NY
Past
June 24, 1992 - September 4, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
BD
CRD#: 909
NEW YORK, NY
Past
July 31, 1990 - July 2, 1992
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/1/2024)
RR
Alaska(3/1/2024)
RR
Arizona(3/1/2024)
RR
Arkansas(3/1/2024)
RR
California(3/1/2024)
RR
Colorado(3/1/2024)
RR
Connecticut(3/1/2024)
RR
Delaware(3/1/2024)
RR
District of Columbia(3/1/2024)
RR
Florida(3/1/2024)
RR
Georgia(3/1/2024)
RR
Idaho(3/1/2024)
RR
Illinois(3/1/2024)
RR
Indiana(3/1/2024)
RR
Iowa(3/1/2024)
RR
Kansas(3/1/2024)
RR
Kentucky(3/1/2024)
RR
Louisiana(3/1/2024)
RR
Maryland(3/1/2024)
RR
Massachusetts(3/1/2024)
RR
Michigan(3/1/2024)
RR
Minnesota(3/1/2024)
RR
Mississippi(3/1/2024)
RR
Missouri(3/1/2024)
RR
Montana(3/1/2024)
RR
Nebraska(3/1/2024)
RR
Nevada(3/1/2024)
RR
New Hampshire(3/1/2024)
RR
New Jersey(3/1/2024)
RR
New Mexico(3/1/2024)
RR
New York(3/1/2024)
RR
North Carolina(3/1/2024)
RR
North Dakota(3/1/2024)
RR
Ohio(3/1/2024)
RR
Oklahoma(3/1/2024)
RR
Oregon(3/1/2024)
RR
Pennsylvania(3/1/2024)
RR
Rhode Island(3/1/2024)
RR
South Carolina(3/1/2024)
RR
South Dakota(3/1/2024)
RR
Tennessee(3/1/2024)
RR
Texas(3/1/2024)
RR
Utah(3/1/2024)
RR
Vermont(3/1/2024)
RR
Virginia(3/1/2024)
RR
Washington(3/1/2024)
RR
West Virginia(3/1/2024)
RR
Wisconsin(3/1/2024)
RR
Wyoming(3/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/25/2013
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NM
NATWEST MARKETS SECURITIES INC.
GREENWICH CAPITAL MARKETS INC | RBS SECURITIES INC. | RBS GREENWICH CAPITAL | NATWEST MARKETS SECURITIES INC. | NATWEST MARKETS (A MARKETING NAME FOR RBS SECURITIES INC.) | GREENWICH CAPITAL MARKETS, INC.
CRD#: 11707 / SEC#: , 8-37135
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
600 Washington Boulevard, Stamford, CT 06901
Mailing Address
600 Washington Boulevard, Stamford, CT 06901
Phone number
(203) 897-2700
Established
Delaware since 11/07/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
