Richard B. Larracey
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 Bernard Larracey, who also goes by Dick Larracey, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 8 firms and has passed the Series 63, Series 7, Series 3 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
December 15, 2011 - February 24, 2014
NEWCOMB AND COMPANY
November 5, 2002 - January 3, 2011
NEWCOMB AND COMPANY
February 18, 1998 - January 17, 2002
NEWCOMB AND COMPANY
August 3, 1994 - December 18, 1995
TRAFALGAR FINANCIAL SERVICES, INC.
February 28, 1985 - March 24, 1988
LEHMAN BROTHERS INC.
March 14, 1984 - March 15, 1985
ADVEST, INC.
January 25, 1982 - April 13, 1984
LEHMAN BROTHERS INC.
September 26, 1978 - September 30, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 26, 1972 - October 6, 1977
H.C.WAINWRIGHT & CO., LLC
March 17, 1971 - April 13, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
November 18, 1969 - April 5, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 1
Date: 11/11/1969
Registered Representative ExaminationCurrent Firm
NEWCOMB AND COMPANY
CRD#: 16851 / SEC#: , 8-34499
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWCOMB, FREDERICK WALTZ | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 346923 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
