Richard A. Kwak
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 Andrew Kwak was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 7 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2013 - January 22, 2016
STEELPOINT SECURITIES, LLC
September 13, 2004 - March 28, 2013
WBB SECURITIES, LLC
November 2, 1998 - September 9, 2004
MORGAN STANLEY DW INC.
March 30, 1998 - September 9, 2004
MORGAN STANLEY DW INC.
February 7, 1990 - April 8, 1998
UBS FINANCIAL SERVICES INC.
February 24, 1978 - February 15, 1990
MORGAN STANLEY DW INC.
March 13, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 2, 1973 - April 4, 1974
DUPONT WALSTON, INCORPORATED
July 24, 1970 - July 2, 1973
DUPONT GLORE FORGAN
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 3/31/1967
Registered Representative ExaminationCurrent Firm
STEELPOINT SECURITIES, LLC
CRD#: 155847 / SEC#: , 8-68744
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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