Richard C. Brower
Professional summary
Richard Clifford Brower was barred by the SEC 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 1994. Prior to being barred, Richard had worked at 6 firms, which includes CONTINENTAL BROKER-DEALER CORP., LLOYD WADE SECURITIES INC., SUNPOINT SECURITIES INC., FIRST MONTAUK SECURITIES CORP., MATRIX SECURITIES CORPORATION, BISHOP ALLEN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2000 - December 11, 2000
CONTINENTAL BROKER-DEALER CORP.
January 7, 2000 - April 26, 2000
CONTINENTAL BROKER-DEALER CORP.
November 21, 1997 - June 30, 1998
LLOYD WADE SECURITIES INC.
August 25, 1997 - November 13, 1997
SUNPOINT SECURITIES, INC.
May 15, 1997 - August 26, 1997
FIRST MONTAUK SECURITIES CORP.
November 11, 1996 - January 1, 1997
MATRIX SECURITIES CORPORATION
May 8, 1996 - November 19, 1996
BISHOP, ALLEN, INC.
February 25, 1994 - May 17, 1996
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
Red Flags
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