Richard B. Sobel
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 Bradley Sobel, who also goes by Richard B Sobel, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 32 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2017 - February 23, 2018
IMPACTUS MARKETPLACE LLC
July 21, 2016 - December 18, 2023
BREAKWATER GROUP DISTRIBUTION SERVICES, LLC
June 29, 2016 - February 22, 2019
PURSUIT MERCHANT SECURITIES LLC
May 17, 2016 - April 1, 2020
MILLBURN RIDGEFIELD LLC
September 23, 2013 - August 25, 2014
GAC STRATEGIC ADVISORS, LLC
April 30, 2013 - July 27, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
March 13, 2013 - December 20, 2023
RENAISSANCE MACRO SECURITIES, LLC
February 4, 2013 - July 15, 2013
D/B/A ATWOOD CAPITAL PARTNERS
April 15, 2010 - May 7, 2012
RESOURCE PRODUCTION ADVISORS, LLC
March 11, 2010 - August 10, 2012
SSR LLC
February 17, 2010 - October 30, 2018
RAINE SECURITIES LLC
October 22, 2009 - September 14, 2011
AVALON PARTNERS, INC.
March 13, 2009 - May 30, 2014
NAVIDAR GROUP LLC
January 21, 2009 - March 12, 2009
ALLCAPITAL SECURITIES, LLC
February 27, 2008 - September 21, 2010
MJC ADVISORS LLC
January 9, 2008 - December 16, 2008
ALLCAPITAL SECURITIES, LLC
March 30, 2007 - September 12, 2007
GUGGENHEIM LIQUIDITY SERVICES, LLC
May 25, 2006 - October 19, 2009
SAPENO INC.
May 22, 2006 - July 26, 2007
SPECTRUM TRADING, LLC
September 14, 2005 - March 22, 2010
IATMARKETS LLC
May 6, 2005 - March 31, 2010
FAIRFIELD RESEARCH SECURITIES CORPORATION
January 3, 2005 - June 23, 2006
COWEN SECURITIES LLC
June 29, 2004 - July 26, 2021
RHONE GROUP ADVISORS LLC
November 5, 2003 - December 31, 2023
HANDELSBANKEN MARKETS SECURITIES, INC.
July 17, 2003 - July 8, 2006
OHTAKA SECURITIES, LLC
February 21, 2003 - October 19, 2009
MAINSAIL GROUP LLC
June 6, 2001 - September 5, 2001
BLADEX SECURITIES, L.L.C.
February 22, 2001 - May 15, 2002
RHONE GROUP ADVISORS LLC
January 8, 2001 - December 20, 2012
MAST SERVICES LLC
October 29, 1998 - January 31, 2000
SEABURY SECURITIES LLC
April 14, 1998 - December 15, 2023
FAMILY MANAGEMENT SECURITIES, LLC
October 21, 1997 - January 21, 2005
KBC PEEL HUNT INCORPORATED
April 7, 1997 - April 16, 2001
RHONE GROUP L.L.C.
February 5, 1997 - July 22, 1997
SEABURY SECURITIES LLC
October 18, 1996 - October 20, 2000
HANDELSBANKEN MARKETS SECURITIES, INC.
September 16, 1996 - November 10, 1997
IRONHORSE 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
IMPACTUS MARKETPLACE LLC
CRD#: 282651 / SEC#: , 8-69726
Contact information
Documents
Red Flags
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