RQ
Richard L. Quad
GRIFFIN FINANCIAL GROUP
Elmwood Park, NJ 07407
Some features on this profile are disabled
CRD#: 2939461
RQ
Professional summary
Richard Lewis Quad is a registered financial professional currently at GRIFFIN FINANCIAL GROUP, LLC located in Elmwood Park, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Richard Lewis Quad's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 13, 2012 - Present
GRIFFIN FINANCIAL GROUP, LLC
Office #1: 669 River Drive Suite 201, Elmwood Park, NJ 07407BD
CRD#: 119004
Elmwood Park, NJ
Past
February 29, 2008 - October 17, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
September 21, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/13/2012)
RR
Alaska(8/13/2012)
RR
Arizona(8/13/2012)
RR
Arkansas(8/13/2012)
RR
California(8/13/2012)
RR
Colorado(8/13/2012)
RR
Connecticut(8/13/2012)
RR
Delaware(8/13/2012)
RR
District of Columbia(8/13/2012)
RR
Florida(8/13/2012)
RR
Georgia(8/13/2012)
RR
Hawaii(8/13/2012)
RR
Idaho(8/13/2012)
RR
Illinois(8/13/2012)
RR
Indiana(8/13/2012)
RR
Iowa(8/13/2012)
RR
Kansas(8/13/2012)
RR
Kentucky(8/13/2012)
RR
Louisiana(8/13/2012)
RR
Maine(8/13/2012)
RR
Maryland(8/13/2012)
RR
Massachusetts(8/13/2012)
RR
Michigan(8/13/2012)
RR
Minnesota(8/13/2012)
RR
Mississippi(8/13/2012)
RR
Missouri(8/13/2012)
RR
Montana(8/13/2012)
RR
Nebraska(11/7/2012)
RR
Nevada(8/13/2012)
RR
New Hampshire(8/13/2012)
RR
New Jersey(8/13/2012)
RR
New Mexico(8/13/2012)
RR
New York(8/13/2012)
RR
North Carolina(8/13/2012)
RR
North Dakota(8/13/2012)
RR
Ohio(8/13/2012)
RR
Oklahoma(8/13/2012)
RR
Oregon(8/13/2012)
RR
Pennsylvania(8/13/2012)
RR
Rhode Island(8/13/2012)
RR
South Carolina(8/13/2012)
RR
South Dakota(8/13/2012)
RR
Tennessee(8/13/2012)
RR
Texas(8/13/2012)
RR
Utah(8/13/2012)
RR
Vermont(8/13/2012)
RR
Virginia(8/13/2012)
RR
Washington(8/13/2012)
RR
West Virginia(8/13/2012)
RR
Wisconsin(8/13/2012)
RR
Wyoming(8/13/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GF
GRIFFIN FINANCIAL GROUP, LLC
GRIFFIN FINANCIAL | GRIFFIN FINANCIAL GROUP, LLC
CRD#: 119004 / SEC#: , 8-53711
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
607 Washington Street, Reading, PA 19603
Mailing Address
607 Washington Street, Reading, PA 19603
Phone number
(610) 478-2105
Established
Pennsylvania since 08/16/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
