A R. Janiak
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.
A Richard Janiak JR, who also goes by A.richard Richard Janiak Jr, Anthony Richard Janiak Jr, was a registered financial professional .
A is a previously registered financial professional and started their career in finance in 1971. A had worked at 2 firms and has passed the Series 7TO, SIE, Series 1, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2001 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
January 26, 1971 - May 19, 2022
CITIGROUP GLOBAL MARKETS 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 1/21/1971
Registered Representative ExaminationCurrent Firm
THE ROBINSON-HUMPHREY COMPANY, LLC
CRD#: 723 / SEC#: , 8-27190
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SALOMON SMITH BARNEY INC. | OWNER | 7059 |
| CLEMENTS, GEORGE BUNCH | SENIOR VICE PRESIDENT | 48542 |
| DAY, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER | 2344142 |
| JANIAK, A.RICHARD RICHARD JR | CHIEF EXECUTIVE OFFICER AND DIRECTOR | |
| KUKLENSKI, KIRBY JUDE | EXECUTIVE VICE PRESIDENT | 732315 |
| MORGAN, MICHELLE MARIE | CROP | 2413332 |
| SORDIPREITE, VIRGINIA A | CHIEF COMPLIANCE OFFICER | 2007039 |
| STIDHAM, REESE MCGREGOR III | SENIOR VICE PRESIDENT | 808174 |
| SWIFT, HENRY WOODRUFF JR | SENIOR VICE PRESIDENT | 441328 |
| TRAYNOR, FRANCIS MOFFITT JR | SENIOR VICE PRESIDENT | 449006 |
| ZIMMERMAN, JOHN CONRAD JR | SENIOR VICE PRESIDENT | 476714 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 11 |
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.
