Richard Perez
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 Perez was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2015 - February 24, 2017
NATIONAL SECURITIES CORPORATION
September 13, 2012 - June 26, 2013
CITIGROUP GLOBAL MARKETS INC.
November 15, 2005 - April 20, 2011
HSBC SECURITIES (USA) INC.
September 21, 2004 - October 27, 2005
CITICORP INVESTMENT SERVICES
August 23, 2004 - September 9, 2004
FIRST MONTAUK SECURITIES CORP.
February 3, 1995 - October 31, 1997
CONTINENTAL BROKER-DEALER CORP.
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 62
Date: 1/25/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
