Richard L. Newberg
Professional summary
Richard Leon Newberg 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 1970. Prior to being barred, Richard had worked at 18 firms, which includes J. ALEXANDER SECURITIES INC., SOUTH BEACH SECURITIES INC., REYNOLDS KENDRICK STRATTON INC., EMANUEL AND COMPANY, VANDERBILT SECURITIES INC., FIRST FLORIDA SECURITIES GROUP INC., GALLANT SECURITIES INC., HUDSON SECURITIESINC., TROSTER SINGER CORPORATION, HERZOG HEINE GEDULD LLC, SHAINKER & CO INC, H. HENTZ & CO. INC., CONTINENTAL SECURITIES CORP, FIRST FLORIDA SECURITIES INC., F O BAROFF CO INC, KELLY ANDREWS & BRADLEY INC., RUSSELL & SAXE, I. J. SCHENIN CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 1995 - August 4, 2004
J. ALEXANDER SECURITIES, INC.
December 8, 1994 - February 13, 1995
SOUTH BEACH SECURITIES, INC.
March 17, 1994 - July 20, 1994
REYNOLDS KENDRICK STRATTON, INC.
January 21, 1991 - March 31, 1994
EMANUEL AND COMPANY
April 22, 1988 - November 30, 1993
VANDERBILT SECURITIES, INC.
October 3, 1986 - February 24, 1988
FIRST FLORIDA SECURITIES GROUP, INC.
July 9, 1986 - August 18, 1986
GALLANT SECURITIES, INC.
November 20, 1985 - May 6, 1986
HUDSON SECURITIES,INC.
August 24, 1982 - October 25, 1985
TROSTER SINGER CORPORATION
August 7, 1973 - July 20, 1982
HERZOG, HEINE, GEDULD, LLC
October 2, 1972 - August 28, 1973
SHAINKER & CO INC
June 19, 1972 - October 27, 1972
H. HENTZ & CO., INC.
February 10, 1972 - August 5, 1972
CONTINENTAL SECURITIES CORP
December 28, 1971 - March 3, 1972
FIRST FLORIDA SECURITIES, INC.
November 1, 1971 - January 6, 1972
F O BAROFF CO INC
August 2, 1971 - October 24, 1972
KELLY, ANDREWS & BRADLEY, INC.
March 1, 1971 - August 28, 1971
RUSSELL & SAXE
September 16, 1970 - May 19, 1971
I. J. SCHENIN CO., 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 55
Date: 8/24/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 9/28/1967
Registered Representative ExaminationSeries 00
Date: 12/13/1972
General Securities Principal ExaminationCurrent Firm
J. ALEXANDER SECURITIES, INC.
CRD#: 7809 / SEC#: , 8-23204
Contact information
Documents
Disclosures
| Regulatory Event | 24 |
| Arbitration | 4 |
| Judgment/Lien | 1 |
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