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RB

Richard S. Brail

SOLOMON PARTNERS SECURITIES
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1994874
RB

Professional summary

Richard Samuel Brail is a registered financial professional currently at SOLOMON PARTNERS SECURITIES, LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 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) - BD

Click below to view Richard Samuel Brail'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®
None

Experience

Current

March 31, 2009 - Present

SOLOMON PARTNERS SECURITIES, LLC

Office #1: 1251 Avenue Of The Americas 32nd Floor, New York, NY 10020
BD
CRD#: 28041
NEW YORK, NY
Past

September 20, 1994 - February 11, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
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
New York
(11/26/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/27/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SP
SOLOMON PARTNERS SECURITIES, LLC
PETER J. SOLOMON SECURITIES COMPANY LIMITED | SOLOMON PARTNERS SECURITIES, LLC | PJ SOLOMON SECURITIES, LLC | PETER J. SOLOMON SECURITIES COMPANY, LLC

CRD#: 28041 / SEC#: , 8-43369

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

Main Address
1251 Avenue Of Americas 32nd Floor, New York, NY 10020
Mailing Address
1251 Avenue Of Americas 32nd Floor, New York, NY 10020
Phone number
(212) 508-1600
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SOLOMON PARTNERS, L.P.MEMBER
BARONOFF, KENNETH DAVIDVICE CHAIRMAN2215563
COOPER, MARC SETHCHIEF EXECUTIVE OFFICER1338324
HENDERSON, STUART ROBERTFINOP1121476
MACK, CATHLEEN COLECHIEF COMPLIANCE OFFICER3171923
SOLOMON, PETER JAYCHAIRMAN430399

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

SOLOMON PARTNERS SECURITIES, LLC

CRD#: 28041New York, NY 10020

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