Richard S. Fuld
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 Severin Fuld JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 6 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2010 - September 28, 2011
LEGEND SECURITIES, INC.
July 25, 1987 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
June 26, 1984 - December 15, 2009
LEHMAN BROTHERS INC.
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1976 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
September 27, 1971 - February 22, 1978
LEHMAN BROTHERS 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: 9/23/1971
Registered Representative ExaminationSeries 40
Date: 6/3/1976
Registered Principal ExaminationCurrent Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
