Richard M. Noritake
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 Myers Noritake, who also goes by Richard Noritake, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 3 firms and has passed the Series 63, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2011 - May 4, 2012
BRONSON & CO., LLC
October 8, 1998 - March 24, 2000
CITIGROUP GLOBAL MARKETS INC.
October 18, 1993 - October 8, 1998
CITICORP SECURITIES, 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
BRONSON & CO., LLC
CRD#: 45025 / SEC#: , 8-50933
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRONSON, STEVEN NATHAN | CEO, CHAIRMAN, PRESIDENT, CCO, GSP, FINOP, SROP | 1223717 |
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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