Richard S. Haughey
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 Stephen Haughey was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1970. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 15, Series 3, PC, Series 1, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - July 7, 2006
A. G. EDWARDS & SONS, INC.
May 24, 1996 - July 7, 2006
A. G. EDWARDS & SONS, INC.
December 14, 1983 - May 23, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 17, 1979 - December 20, 1983
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 14, 1972 - November 8, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
July 8, 1970 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
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
Series 15
Date: 4/3/1992
Foreign Currency Options ExaminationPC
Date: 1/29/1981
AMEX Put and Call ExamSeries 1
Date: 3/3/1969
Registered Representative ExaminationSeries 12
Date: 1/1/1981
NYSE Branch Manager ExaminationSeries 40
Date: 7/26/1976
Registered Principal ExaminationCurrent Firm
A. G. EDWARDS & SONS, INC.
CRD#: 4 / SEC#: , 8-13580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.G. EDWARDS, INC. | HOLDING COMPANY | |
| ATKIN, MARY MARGARET | DIRECTOR, EXECUTIVE VICE PRESIDENT | 863962 |
| BAGBY, ROBERT LEE | CHAIRMAN OF BOARD OF DIRECTORS | 9985 |
| BIEBEL, PETER ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | 722143 |
| GRUMKE, CLAY LEONARD | CHIEF LEGAL COUNSEL, VICE PRESIDENT | 2199350 |
| HOPKINS, DAVID RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | 4802877 |
| KELLY, DOUGLAS LAIRD | CORPORATE SECRETARY, DIRECTOR, EXECUTIVE VP; CHIEF OPERATING OF | 2428802 |
| LUDEMAN, DANIEL JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 874126 |
| MAHAT, MARC ALAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1967091 |
| UNDERWOOD, BRIAN CLINTON | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | 1229168 |
Disclosures
| Regulatory Event | 77 |
| Arbitration | 265 |
| Bond | 3 |
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.
