Richard M. Innenberg
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 Marshall Innenberg was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2009 - February 17, 2025
NEW CENTURY CAPITAL PARTNERS, INC.
September 29, 2006 - December 19, 2008
PIPER SANDLER & CO.
April 26, 2004 - August 23, 2006
LAZARD FRERES & CO. LLC
January 9, 2003 - March 16, 2004
SEVEN HILLS PARTNERS LLC
September 1, 1998 - July 9, 2002
ROBERTSON STEPHENS, INC.
May 19, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
October 3, 1995 - February 19, 1998
LEHMAN BROTHERS 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
NEW CENTURY CAPITAL PARTNERS, INC.
CRD#: 147071 / SEC#: , 8-67873
Contact information
FINRA licenses (6 States and Territories)
Documents
Red Flags
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