Richard Nager
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 Nager was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 11 firms and has passed the Series 63, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2000 - June 17, 2003
HFP CAPITAL MARKETS LLC
June 4, 1998 - January 5, 2000
CONTINUUM CAPITAL INC.
November 19, 1993 - December 13, 1996
HAMPSHIRE SECURITIES CORPORATION
November 21, 1991 - November 16, 1993
JOSEPHTHAL & CO., INC.
February 3, 1987 - July 13, 1990
LADENBURG THALMANN & CO. INC.
July 25, 1978 - June 19, 1986
ROONEY, PACE INC.
April 3, 1978 - July 20, 1978
ROSS, STEBBINS INC.
November 15, 1976 - June 8, 1978
KIDDER, PEABODY & CO., INCORPORATED
September 1, 1976 - October 24, 1976
BAIRD, PATRICK & CO., INC.
November 19, 1973 - July 7, 1976
R K PACE POST & CO INC
November 24, 1970 - February 5, 1974
WILLIAM NORTON & COMPANY, 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
PC
Date: 12/18/1980
AMEX Put and Call ExamSeries 1
Date: 1/27/1969
Registered Representative ExaminationSeries 00
Date: 7/30/1973
General Securities Principal ExaminationCurrent Firm
HFP CAPITAL MARKETS LLC
CRD#: 44351 / SEC#: , 8-50652
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
