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RM

Richard Malpas

SAPENO
London, W1J 7AD
Some features on this profile are disabled
CRD#: 2282527
RM

Professional summary

Richard Malpas is a registered financial professional currently at SAPENO INC. .

Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Malpas's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 28, 2005 - Present

SAPENO INC.

Office #1: 6 Derby Street, London, W1J 7AD
BD
CRD#: 124769
London,
Past

July 1, 1998 - February 9, 1999

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

November 6, 1995 - July 1, 1998

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

August 5, 1994 - November 6, 1995

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

BD
CRD#: 31797
Past

October 9, 1992 - July 18, 1994

CHASE SECURITIES, INC.

BD
CRD#: 10793
NEW YORK, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/15/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 6/3/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/17/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SAPENO INC.
LIABILITY SOLUTIONS INC. | SAPENO INC. | LIABSOL INC.

CRD#: 124769 / SEC#: , 8-65721

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
6 Derby Street, London, W1J 7AD
Mailing Address
6 Derby Street, London, W1J 7AD
Phone number
44 7951 588 928
Established
New York since 07/12/2002
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SAPENO PARTNERS LLPOWNER
GENDRON, KAREN MARIEFINOP1503330
MALPAS, RICHARDCEO AND CCO2282527

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.

Company Information

SAPENO INC.

CRD#: 124769London, W1J 7AD

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