Richard F. Mcnally
Professional summary
Richard Francis Mcnally 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 1967. Prior to being barred, Richard had worked at 8 firms, which includes SHIELDS & COMPANY, AUERBACH POLLAK & RICHARDSON INC., BARCLAY INVESTMENTS LLC, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., SHEARSON HAYDEN STONE INC., E. F. HUTTON & COMPANY INC, PAINE WEBBER JACKSON & CURTIS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2001 - June 7, 2002
SHIELDS & COMPANY
May 21, 1999 - July 26, 2001
AUERBACH, POLLAK & RICHARDSON INC.
July 19, 1996 - May 19, 1999
BARCLAY INVESTMENTS LLC
March 12, 1991 - July 17, 1996
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - March 18, 1991
LEHMAN BROTHERS INC.
July 20, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
January 13, 1975 - August 13, 1977
E. F. HUTTON & COMPANY INC
June 6, 1967 - January 16, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 6/2/1967
Registered Representative ExaminationCurrent Firm
SHIELDS & COMPANY
CRD#: 11053 / SEC#: , 8-28036
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHIELDS, JOSEPH VINCENT JR | CHAIRMAN & MANAGING DIRECTOR | 700539 |
| SHIELDS, DAVID VINCENT | PRESIDENT & MANAGING DIRECTOR | 1072810 |
| CURCURU, PHILIP MICHAEL | CHIEF OPERATIONS OFFICER | |
| CURCURU, PHILIP MICHAEL | CFO | |
| MEYER, CHRISTOPHER FRANCIS | CHIEF COMPLIANCE OFFICER | 1075415 |
| SCARPA, RALPH JOSEPH | SECRETARY | 718855 |
| VANCLEVE, KEVIN PATRICK | MSRB PRINCIPAL | 1022686 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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