Richard Perez
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 Perez, who also goes by Rich Perez, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 9 firms and has passed the Series 63 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
May 27, 2010 - January 29, 2013
NATIONAL SECURITIES CORPORATION
June 3, 2004 - November 7, 2008
NATIONAL SECURITIES CORPORATION
August 27, 2002 - June 24, 2004
JOSEPH STEVENS & CO., INC.
June 20, 2001 - August 23, 2002
NATIONAL SECURITIES CORPORATION
February 14, 2001 - June 15, 2001
SOLID ISG CAPITAL MARKETS, LLC
October 19, 2000 - February 12, 2001
WINDSOR STREET CAPITAL, LP
August 14, 2000 - August 22, 2000
DALTON KENT SECURITIES GROUP, INC.
November 17, 1998 - August 7, 2000
JOSEPH GUNNAR & CO. LLC
September 8, 1997 - February 5, 1999
M.S. FARRELL & COMPANY, INC.
July 10, 1997 - August 5, 1997
H.J. MEYERS & CO., INC.
May 28, 1996 - July 17, 1997
FIRST ASSET MANAGEMENT, 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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
