Richard L. Feldman
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 Lewis Feldman, who also goes by Dick Feldman, Richie Feldman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2011 - December 12, 2016
AXIOM CAPITAL MANAGEMENT, INC.
July 23, 2003 - May 3, 2011
MONARCH CAPITAL GROUP, LLC
June 18, 1998 - May 5, 2003
KIMELMAN & BAIRD, LLC
July 8, 1996 - May 4, 1998
LAIDLAW GLOBAL SECURITIES, INC.
November 16, 1988 - October 1, 1996
HAMPSHIRE SECURITIES CORPORATION
September 7, 1983 - November 22, 1988
FELDMAN,CUMMING & CO., INC.
April 15, 1977 - June 10, 1983
W. P. STEWART & CO., INC.
March 30, 1976 - May 18, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
May 16, 1975 - May 14, 1976
LEHMAN BROTHERS INCORPORATED
September 6, 1970 - May 30, 1975
BAKER WEEKS AND COMPANY
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 1
Date: 2/19/1968
Registered Representative ExaminationSeries 00
Date: 9/14/1970
General Securities Principal ExaminationCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
