Richard P. Chingos
Professional summary
Richard Philip Chingos was barred by the FINRA 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 4 firms, which includes LLOYD WADE SECURITIES INC., BLUESTONE CAPITAL CORP., BISHOP ALLEN INC., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 1998 - June 30, 1998
LLOYD WADE SECURITIES INC.
July 29, 1996 - December 24, 1996
BLUESTONE CAPITAL CORP.
February 27, 1996 - July 11, 1996
BISHOP, ALLEN, INC.
November 22, 1994 - March 11, 1996
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
LLOYD WADE SECURITIES INC.
CRD#: 39653 / SEC#: , 8-48781
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 6 |
Red Flags
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