Richard A. Kahn
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 Alan Kahn was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2014 - April 20, 2020
KEDEM CAPITAL CORPORATION
January 24, 2006 - June 20, 2014
NORTHEAST SECURITIES, LLC
June 5, 1990 - March 20, 2006
PHOENIX DERIVATIVES GROUP, LLC
June 12, 1974 - July 13, 1990
WOODMERE SECURITIES, INC.
June 4, 1974 - July 16, 1974
J.P. MORGAN SECURITIES LLC
July 28, 1972 - March 28, 1975
BACHE & CO INCORPORATED
September 10, 1971 - June 8, 1974
GOLDWATER VALENTE FITZPATRICK & CO
October 16, 1970 - May 31, 1973
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 55
Date: 3/27/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 1/5/1962
Registered Representative ExaminationSeries 40
Date: 8/6/1970
Registered Principal ExaminationCurrent Firm
KEDEM CAPITAL CORPORATION
CRD#: 18178 / SEC#: , 8-36217
Contact information
Disclosures
| Arbitration | 3 |
Red Flags
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