Richard W. Stopa
Professional summary
Richard William Stopa was barred by the FINRA 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 STRATEGIC ASSETS INC., MASON HILL & CO. INC., ALDEN CAPITAL MARKETS INC., LADENBURG CAPITAL MANAGEMENT INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 1999 - October 30, 2001
STRATEGIC ASSETS INC.
July 14, 1998 - June 9, 1999
MASON HILL & CO., INC.
June 17, 1998 - July 30, 1998
ALDEN CAPITAL MARKETS, INC.
August 31, 1995 - March 5, 1998
LADENBURG CAPITAL MANAGEMENT INC.
September 3, 1993 - July 14, 1994
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
STRATEGIC ASSETS INC.
CRD#: 37590 / SEC#: , 8-47815
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APPEL, RANDALL STEPHEN | PRESIDENT | |
| APPEL, RANDALL STEPHEN | PRESIDENT | 737169 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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