Richard A. Reisert
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 A Reisert JR, who also goes by Richard Reisert, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2006 - June 7, 2024
JOSEPH GRACE
May 23, 2005 - June 7, 2024
JOSEPH GRACE
March 26, 2001 - May 7, 2004
GOODWIN CAPITAL ADVISERS, INC.
August 7, 2000 - April 27, 2004
VP DISTRIBUTORS LLC
March 3, 2000 - March 6, 2000
ROBERTSON STEPHENS, INC.
December 23, 1998 - March 6, 2000
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 2
Date: 7/22/1996
Non-Member General Securities ExaminationCurrent Firm
JOSEPH GRACE
CRD#: 103580 / SEC#: , 8-52203
Contact information
FINRA licenses (35 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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