Lee A. Richman
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.
Lee Alan Richman was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1989. Lee had worked at 5 firms and has passed the Series 63, SIE 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
October 22, 1996 - April 30, 2021
CARTY, HARDING & HEARN, INC.
January 11, 1993 - October 28, 1996
B. RILEY WEALTH MANAGEMENT
June 8, 1992 - December 23, 1992
POWELL & SATTERFIELD, INC.
March 15, 1991 - February 27, 1992
SUNAMERICA SECURITIES, INC.
September 19, 1989 - August 14, 1990
QUEST CAPITAL STRATEGIES, INC.
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
Current Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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.
