Richard O. Freedman
Professional summary
Richard Orkin Freedman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Richard had worked at 12 firms, which includes J. P. GIBBONS & CO. INC., BENSON YORK GROUP INC., PARAGON CAPITAL MARKETS INC., BISHOP ALLEN INC., MONY SECURITIES CORPORATION, DANIEL BRINKMAN INVESTMENT SECURITIES INC., BLINDER ROBINSON & CO. INC., ROONEY PACE INC., JOHN MUIR & CO., DOMIK CORP., ABRAHAM & CO. INC., BRUNS NORDEMAN REA & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 1997 - November 17, 1999
J. P. GIBBONS & CO., INC.
January 22, 1997 - February 14, 1997
BENSON YORK GROUP, INC.
June 12, 1996 - September 24, 1996
PARAGON CAPITAL MARKETS, INC.
May 31, 1996 - June 14, 1996
BISHOP, ALLEN, INC.
January 7, 1987 - May 2, 1987
MONY SECURITIES CORPORATION
October 26, 1984 - December 27, 1984
DANIEL BRINKMAN INVESTMENT SECURITIES, INC.
November 30, 1983 - January 27, 1984
BLINDER, ROBINSON & CO., INC.
January 4, 1982 - March 31, 1982
ROONEY, PACE INC.
May 18, 1981 - September 12, 1981
JOHN MUIR & CO.
April 7, 1972 - June 25, 1974
DOMIK CORP.
May 19, 1971 - April 2, 1972
ABRAHAM & CO., INC.
December 16, 1970 - February 18, 1971
BRUNS, NORDEMAN, REA & CO.
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: 12/10/1970
Registered Representative ExaminationSeries 8
Date: 7/7/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J. P. GIBBONS & CO., INC.
CRD#: 38850 / SEC#: , 8-48433
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.F. FAMILY LIMITED PARTNERSHIP | SHAREHOLDER | |
| JAM FAMILY LIMITED PARTNERSHIP | SHAREHOLDER | |
| AVILES, ALBERTO JOHN JR | CHIEF COMPLIANCE OFFICER / OPERATIONS OFFICER | 2836015 |
| BIENENSTOCK, ALEXANDER | FINOP, ASST DIRECTOR OF COMPLIANCE, VICE PRESIDENT | 3148327 |
| GIBBONS, FOSTER J | PRESIDENT, GENERAL COUNSEL | 2766670 |
| PAK, IOSIF | MANAGING DIRECTOR | 2603433 |
| SWAN, EARL JOHN III | SALES MANAGER | 440677 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 17 |
Red Flags
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