Richard F. Fletcher
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 Francis Fletcher was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1959. Richard had worked at 16 firms and has passed the Series 1, Series 14, Series 24, Series 8 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2005 - October 24, 2005
ARJENT LTD.
March 29, 2000 - March 6, 2003
ADOLPH KOMORSKY INVESTMENTS
July 11, 1999 - May 24, 2000
COWEN SECURITIES LLC
January 5, 1999 - March 5, 2000
WIN CAPITAL CORP.
August 28, 1998 - September 1, 1998
ALDEN CAPITAL MARKETS, INC.
June 18, 1997 - November 11, 1997
COLEMAN & COMPANY SECURITIES, INC.
April 25, 1996 - June 17, 1998
FIRST METROPOLITAN SECURITIES, INC.
November 16, 1994 - February 1, 1996
RICKEL & ASSOCIATES, INC.
January 30, 1992 - October 5, 1994
THE STAMFORD COMPANY, INC.
June 30, 1988 - September 18, 1991
LADENBURG THALMANN & CO. INC.
November 17, 1986 - June 21, 1988
PHILIPS, APPEL & WALDEN, INC.
June 3, 1982 - November 18, 1986
MOSELEY SECURITIES CORPORATION
November 13, 1978 - March 15, 1982
TUCKER ANTHONY INCORPORATED
September 16, 1977 - December 3, 1978
PRUDENTIAL EQUITY GROUP, LLC
September 20, 1974 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
May 7, 1959 - September 20, 1974
SHIELDS & COMPANY INCORPORATED
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: 5/23/1956
Registered Representative ExaminationSeries 8
Date: 11/11/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 6/1/1964
NYSE Branch Manager ExaminationCurrent Firm
ARJENT LTD.
CRD#: 35909 / SEC#: , 8-46922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARJENT SERVICES LIMITED (UK) | OWNER | |
| DAVANZO, GEORGE | FINOP/CFO | 1866674 |
| DEPALO, ROBERT PHILIP | CHAIRMAN/CEO/SECY/CORP. DIRECTOR | 2946313 |
| DIFIORE, MONICA LISA | CCO | 2966552 |
| FALLAH, ROBERT BOBAK | CO-CHAIRMAN/PRESIDENT/DIRECTOR CORPORATE FINANCE | 1069032 |
| HEINEMAN, RONALD MARK | MANAGING DIRECTOR/CROP/SROP/MUNI PRINCIPAL | 241924 |
| SCHONWALD, GARY ALAN | TREASURER/CORPORATE DIRECTOR | 4478897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
