Richard K. Weingarten
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 Karl Weingarten was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2012 - December 31, 2016
SUTTER MILL CAPITAL MANAGEMENT LLC
March 23, 2001 - March 15, 2004
GREYSTONE SECURITIES, INC.
November 28, 1997 - April 6, 1999
CITIGROUP GLOBAL MARKETS INC.
May 20, 1997 - September 1, 1998
SALOMON BROTHERS INC.
July 22, 1993 - April 29, 1997
MONTGOMERY SECURITIES
May 11, 1992 - August 16, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
December 19, 1989 - May 6, 1991
SANFORD C. BERNSTEIN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
SUTTER MILL CAPITAL MANAGEMENT LLC
CRD#: 159494 / SEC#:
Contact information
Red Flags
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