Richard Lupia
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 Lupia JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 12 firms and has passed the Series 63, Series 55 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 19, 2001 - March 24, 2003
SCHONFELD SECURITIES, LLC
July 20, 1994 - August 26, 1994
SAPERSTON FINANCIAL INC.
July 11, 1994 - October 11, 1994
VISION INVESTMENT GROUP, INC.
March 10, 1994 - September 26, 1994
CAMELOT INVESTMENT CORP.
April 8, 1992 - August 19, 1992
BRILL SECURITIES, INC.
January 8, 1992 - July 13, 1992
THE WELLINGTON GROUP, INC.
December 9, 1991 - January 1, 1992
JOHNSON, MCKENNEY,CARR & COMPANY INCORPORATED
October 18, 1991 - December 23, 1991
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 18, 1991 - October 17, 1991
GKN SECURITIES CORP.
December 3, 1990 - July 31, 1991
COMMONWEALTH ASSOCIATES
September 10, 1990 - December 7, 1990
GLOBAL AMERICA INCORPORATED
November 21, 1989 - August 29, 1990
GRUNTAL & CO., L.L.C.
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
Series 55
Date: 9/18/2001
Limited Representative-Equity Trader ExamCurrent Firm
SCHONFELD SECURITIES, LLC
CRD#: 23304 / SEC#: , 8-40148
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
Red Flags
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