Richard K. Steele
Professional summary
Richard Kent Steele JR was barred by both the FINRA and 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 5 firms, which includes BARRON CHASE SECURITIES INC., VFG SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, FLEMMING ANDERSON COHEN & LEE INC., R.K. STEELE.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 1996 - December 16, 1996
BARRON CHASE SECURITIES, INC.
October 26, 1995 - March 14, 1996
VFG SECURITIES, INC.
April 13, 1995 - November 3, 1995
WELLS FARGO CLEARING SERVICES, LLC
February 14, 1995 - May 10, 1995
VFG SECURITIES, INC.
August 10, 1994 - January 26, 1995
FLEMMING, ANDERSON, COHEN & LEE, INC.
January 13, 1993 - August 8, 1994
R.K. STEELE
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
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
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.
