Richard D. Reddock
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 David Reddock, who also goes by Richard D Reddock, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 5 firms and has passed the Series 63, PC, Series 18, Series 000, 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
September 12, 1994 - April 17, 2002
GRUNTAL & CO., L.L.C.
February 2, 1989 - July 27, 1994
UBS FINANCIAL SERVICES INC.
June 3, 1980 - January 25, 1989
LEHMAN BROTHERS INC.
November 1, 1975 - September 28, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 4, 1971 - March 30, 1973
GALAXY DISTRIBUTOR 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: 6/10/1980
AMEX Put and Call ExamSeries 18
Date: 10/23/1975
Securities Industry Rules and Regulations ExaminationSeries 000
Date: 1/31/1966
General Securities Principal ExaminationSeries 1
Date: 1/31/1966
Registered Representative ExaminationSeries 00
Date: 2/27/1970
General Securities Principal ExaminationCurrent Firm
GRUNTAL & CO., L.L.C.
CRD#: 372 / SEC#: , 8-31022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
| Regulatory Event | 34 |
| Arbitration | 81 |
| Bond | 2 |
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.
