Todd D. Lipton
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.
Todd David Lipton was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1999. Todd had worked at 1 firm and has passed the 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
March 4, 1999 - March 10, 1999
RICHMARK CAPITAL CORPORATION
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
RICHMARK CAPITAL CORPORATION
CRD#: 43162 / SEC#: , 8-50150
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RMC 1 CAPITAL MARKETS, INC. | HOLDING COMPANY | |
| WHITE, DOYLE MARK | SECRETARY/TREASURER, DIRECTOR | 2212634 |
Disclosures
| Regulatory Event | 8 |
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.
