Richard J. Cairns
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 James Cairns was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 56, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2012 - April 1, 2025
AVATAR SECURITIES, LLC
March 22, 2011 - March 20, 2012
WTS PROPRIETARY TRADING GROUP LLC
December 3, 2003 - February 3, 2004
A.B. WATLEY, INC.
November 3, 2003 - December 2, 2003
MILLENNIUM BROKERAGE, L.L.C.
April 21, 1997 - October 7, 1997
ASIEL & CO. LLC
May 20, 1996 - March 14, 1997
CYGNET SECURITIES, INC.
August 29, 1995 - June 26, 1996
BERNARD HEROLD & CO., INC.
January 24, 1994 - May 11, 1995
MORGAN STANLEY DW 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 12/30/2011
Proprietary Trader Qualification ExaminationCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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