Richard W. Radonis
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 William Radonis was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2015 - January 2, 2019
PAULSON INVESTMENT COMPANY LLC
May 20, 2013 - December 2, 2013
LPS CAPITAL LLC
March 19, 2003 - May 8, 2013
THE BENCHMARK COMPANY, LLC
February 20, 2002 - January 30, 2003
J.P. TURNER & COMPANY, L.L.C.
July 30, 2001 - October 19, 2001
WELLS FARGO CLEARING SERVICES, LLC
March 1, 1999 - July 30, 2001
MORGAN STANLEY DW INC.
December 16, 1997 - March 8, 1999
GRUNTAL & CO., L.L.C.
November 4, 1997 - January 1, 1998
HAMPSHIRE SECURITIES CORPORATION
June 26, 1996 - November 10, 1997
DALTON KENT SECURITIES GROUP, INC.
January 25, 1996 - July 17, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 28, 1995 - January 30, 1996
DUKE & CO., INC.
August 12, 1994 - May 2, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
January 10, 1994 - August 26, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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 55
Date: 7/9/2004
Limited Representative-Equity Trader ExamCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
