Richard A. Kaye
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 A Kaye, who also goes by Richard Kaye, Rick A Kaye, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 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
July 9, 2013 - October 1, 2014
BMA SECURITIES, LLC
August 10, 2011 - July 1, 2013
C.K. COOPER & COMPANY, INC.
March 7, 1995 - March 10, 1995
GRUNTAL & CO., L.L.C.
November 30, 1992 - February 8, 1995
MONTANO SECURITIES CORPORATION
December 17, 1991 - December 5, 1992
INTERFIRST CAPITAL CORPORATION
November 26, 1990 - April 1, 1992
H.K. FREELAND & COMPANY, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BMA SECURITIES, LLC
CRD#: 108219 / SEC#: , 8-53073
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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