Richard C. Reining
Professional summary
Richard Charles Reining was barred by the SEC 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 1993. Prior to being barred, Richard had worked at 3 firms, which includes TRANSGLOBAL CAPITAL CORPORATION, WELLINGTON ASHFORD CAPITAL INC., BRENTWOOD SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1995 - June 14, 1995
TRANSGLOBAL CAPITAL CORPORATION
August 11, 1994 - December 12, 1994
WELLINGTON ASHFORD CAPITAL, INC.
September 9, 1993 - July 28, 1994
BRENTWOOD SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
TRANSGLOBAL CAPITAL CORPORATION
CRD#: 33347 / SEC#: , 8-46099
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POLK, JOICEITA T | PRESIDENT/CHIEF EXECUTIVE OFFICER | 3094319 |
| SPECTRUM EQUITIES, LLC | OWNER |
Disclosures
| Regulatory Event | 1 |
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