Richard H. Feldstein
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 Harvey Feldstein was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 5 firms and has passed the Series 65, 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
June 22, 2021 - December 31, 2025
HOWARD CAPITAL MANAGEMENT GROUP, LLC
April 5, 2005 - March 5, 2007
EQUITABLE ADVISORS, LLC
April 15, 2003 - January 4, 2005
1717 CAPITAL MANAGEMENT COMPANY
January 10, 2002 - April 1, 2002
1717 CAPITAL MANAGEMENT COMPANY
March 18, 1999 - January 11, 2000
IDS LIFE INSURANCE COMPANY
March 18, 1999 - January 11, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
HOWARD CAPITAL MANAGEMENT GROUP, LLC
CRD#: 310510 / SEC#: 801-119502
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
HOWARD CAPITAL MANAGEMENT GROUP, LLC
CRD#: 310510 / SEC#: 801-119502
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,380 |
| AUM (Assets Under Management) | $ 2,304,564,538 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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