Richard A. Baumel
Professional summary
Richard Andrew Baumel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Richard had worked at 3 firms, which includes ESSEX NATIONAL SECURITIES LLC, LASALLE FINANCIAL SERVICES INC., HD BROUS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 1998 - October 10, 2000
ESSEX NATIONAL SECURITIES, LLC
April 15, 1998 - November 3, 1998
ESSEX NATIONAL SECURITIES, LLC
March 27, 1998 - October 14, 1998
LASALLE FINANCIAL SERVICES, INC.
April 11, 1997 - March 26, 1998
HD BROUS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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