Richard B. Bonte
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 Bernard Bonte was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 13 firms and has passed the Series 15 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 1996 - August 21, 1997
E-W INVESTMENTS, INC.
August 30, 1994 - November 14, 1994
RSR CAPITAL GROUP, INC.
March 15, 1993 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
November 22, 1991 - March 4, 1992
ROCKWELL FINANCIAL, INC.
November 6, 1989 - April 22, 1991
E-W INVESTMENTS, INC.
June 17, 1987 - October 28, 1987
TOLUCA PACIFIC SECURITIES CORP.
November 13, 1984 - July 24, 1985
J.P. MORGAN SECURITIES LLC
June 28, 1983 - December 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1980 - March 17, 1981
GALLAGHER, BOYLAN & COOK, INC.
April 20, 1977 - August 18, 1978
STONE & YOUNGBERG LLC
July 30, 1973 - July 7, 1975
DREXEL BURNHAM LAMBERT INCORPORATED
August 4, 1972 - December 10, 1973
JOHN J RYAN & COMPANY
February 14, 1972 - June 30, 1972
SYMETRA SECURITIES, INC.
May 27, 1969 - October 15, 1974
WEIS SECURITIES, 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 15
Date: 5/27/1988
Foreign Currency Options ExaminationSeries 1
Date: 3/21/1966
Registered Representative ExaminationCurrent Firm
E-W INVESTMENTS, INC.
CRD#: 17463 / SEC#: , 8-35259
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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