Richard C. Gamsu
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 Castle Gamsu, who also goes by Richard Gamsu, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1966. Richard had worked at 10 firms and has passed the Series 63, Series 55, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 1997 - December 31, 2001
HERZOG, HEINE, GEDULD, LLC
February 26, 1997 - March 24, 1997
BREAN MURRAY & CO., INC.
January 11, 1996 - February 10, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 8, 1992 - January 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 1989 - July 16, 1992
LADENBURG THALMANN & CO. INC.
May 1, 1989 - June 8, 1989
W.A. CAPITAL MARKETS
January 13, 1989 - March 27, 1989
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 21, 1987 - December 23, 1988
NEWHARD, COOK & CO. INCORPORATED
June 25, 1987 - November 3, 1987
SCOTIA CAPITAL (USA) INC.
August 27, 1982 - March 27, 1989
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 23, 1973 - June 1, 1987
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 18, 1966 - May 28, 1972
TPO INCORPORATED 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
Series 55
Date: 10/5/1999
Limited Representative-Equity Trader ExamPC
Date: 12/3/1993
AMEX Put and Call ExamSeries 1
Date: 10/1/1959
Registered Representative ExaminationCurrent Firm
HERZOG, HEINE, GEDULD, LLC
CRD#: 2186 / SEC#: , 8-10463
Contact information
Documents
Disclosures
| Regulatory Event | 51 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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