Richard J. Newcomb
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 John Newcomb was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2020 - February 2, 2024
FIRST PALLADIUM, LLC
April 1, 2011 - April 5, 2019
MML INVESTORS SERVICES, LLC
February 4, 2009 - May 6, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
April 7, 2003 - February 4, 2009
VP DISTRIBUTORS LLC
January 18, 2002 - August 29, 2003
WS GRIFFITH SECURITIES, INC.
October 25, 1991 - January 14, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 25, 1991 - January 14, 2002
OSAIC FA, 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
FIRST PALLADIUM, LLC
CRD#: 289822 / SEC#: , 8-70007
Contact information
Documents
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.
