Richard A. Boege
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 Arthur Boege, who also goes by Dick Boege, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 9 firms and has passed the Series 63, Series 5, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 1988 - July 10, 1992
PAULSON INVESTMENT COMPANY LLC
August 19, 1986 - October 5, 1987
BOETTCHER & COMPANY, INC.
April 10, 1986 - August 28, 1986
LEHMAN BROTHERS INC.
April 1, 1986 - April 15, 1986
BWS, INC.
October 15, 1985 - April 1, 1986
BIRR, WILSON & CO., INC.
January 23, 1983 - October 17, 1985
SUTRO & CO. INCORPORATED
May 19, 1978 - February 23, 1983
KIDDER, PEABODY & CO. INCORPORATED
June 1, 1976 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
December 18, 1969 - June 28, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 3/27/1987
Interest Rate Options ExaminationSeries 000
Date: 12/12/1969
General Securities Principal ExaminationSeries 1
Date: 12/12/1969
Registered Representative ExaminationSeries 40
Date: 4/22/1978
Registered Principal ExaminationSeries 12
Date: 11/26/1976
NYSE Branch Manager ExaminationCurrent 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.
