Richard W. Mentz
Professional summary
Richard Wayne Mentz JR 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 1991. Prior to being barred, Richard had worked at 8 firms, which includes BROKERSXPRESS LLC, EMMETT A LARKIN COMPANY INC., MORGAN STANLEY DW INC., NATIONAL SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, BARRON CHASE SECURITIES INC., JOSEPHTHAL & CO. INC., FIRST ASSET MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2004 - April 19, 2005
BROKERSXPRESS LLC
August 18, 2003 - August 24, 2004
EMMETT A LARKIN COMPANY, INC.
September 13, 2002 - August 19, 2003
MORGAN STANLEY DW INC.
February 21, 2000 - June 22, 2001
NATIONAL SECURITIES CORPORATION
December 23, 1997 - April 17, 1998
GUNNALLEN FINANCIAL, INC
January 11, 1996 - November 1, 1996
BARRON CHASE SECURITIES, INC.
February 27, 1995 - January 15, 1996
JOSEPHTHAL & CO., INC.
April 19, 1994 - February 27, 1995
BARRON CHASE SECURITIES, INC.
April 14, 1992 - May 10, 1994
FIRST ASSET MANAGEMENT, INC.
August 30, 1991 - February 18, 1992
FIRST ASSET MANAGEMENT, INC.
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
Current Firm
BROKERSXPRESS LLC
CRD#: 127081 / SEC#: 801-66123, 8-65953
Contact information
Disclosures
| Regulatory Event | 6 |
| Bond | 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.
