Richard J. Kailer
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 John Kailer was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 3 firms and has passed the Series 63, SIE, Series 55, PC, Series 1, Series 24, Series 14, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1998 - February 13, 2015
BANIF SECURITIES INC
September 26, 1978 - April 1, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 7/26/2000
Limited Representative-Equity Trader ExamPC
Date: 11/26/1996
AMEX Put and Call ExamSeries 1
Date: 3/26/1973
Registered Representative ExaminationSeries 12
Date: 6/20/1981
NYSE Branch Manager ExaminationCurrent Firm
BANIF SECURITIES INC
CRD#: 38913 / SEC#: , 8-48462
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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