Richard D. Albert
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 Dennis Albert was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 8 firms and has passed the Series 63, Series 15, Series 5, Series 1, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 1987 - July 31, 2009
MCGINN, SMITH & CO., INC.
January 16, 1984 - May 13, 1987
TUCKER ANTHONY INCORPORATED
December 19, 1978 - January 27, 1984
UBS FINANCIAL SERVICES INC.
October 18, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 27, 1976 - November 15, 1976
BACHE HALSEY STUART INC.
August 23, 1973 - August 27, 1976
BACHE & CO INCORPORATED
May 9, 1973 - August 19, 1973
INDEPENDENT SECURITIES CORPORATION
April 15, 1969 - May 9, 1973
EQUITY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 3/25/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/15/1981
Interest Rate Options ExaminationSeries 1
Date: 4/11/1969
Registered Representative ExaminationSeries 12
Date: 11/1/1977
NYSE Branch Manager ExaminationSeries 00
Date: 5/3/1973
General Securities Principal ExaminationCurrent Firm
MCGINN, SMITH & CO., INC.
CRD#: 8453 / SEC#: , 8-25374
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Arbitration | 5 |
| Bond | 1 |
Red Flags
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