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RR

Ronald J. Richards

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CRD#: 1913296
RR

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.

Ronald John Richards was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1989. Ronald had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 57, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 29, 2018 - October 19, 2018

AVATAR SECURITIES, LLC

BD
CRD#: 147763
NEW YORK, NY
Past

October 27, 2000 - August 15, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RIVERWOODS, IL
Past

March 15, 1990 - August 15, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 24, 1989 - March 15, 1990

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/1/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/1/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 8/29/2018
Securities Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 6/1/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination

Current Firm

AS
AVATAR SECURITIES, LLC
AVATAR SECURITIES, LLC

CRD#: 147763 / SEC#: , 8-67932

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
148 Madison Ave 5th Floor, New York, NY 10016
Mailing Address
148 Madison Ave 5th Floor, New York, NY 10016
Phone number
(212) 217-2800
Established
Delaware since 05/14/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AVATAR TRADING GROUP, LLCHOLDING CO.
DEETER, MISHA BODHIMEMBER5132163
BROWSKI, ANDREW CHARLESCHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER5778834
HOLLAND, RAYMOND FCO-MANAGING MEMBER5509397
KATHWARI, OMAR FAROOQCO-MANAGING MEMBER5509343
SLOAN NOWAK, JACQUELINE LEEFINOP/PRINCIPAL FINANCIAL OFFICER2717305

Disclosures

Regulatory Event1

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.

Company Information

AVATAR SECURITIES, LLC

CRD#: 147763

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