Richard D. Reis
Professional summary
Richard David Reis was barred by the SEC 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 3 firms, which includes CINCAP INVESTMENT GROUP LLC, ROSS SINCLAIRE & ASSOCIATES LLC, SEASONGOOD & MAYER.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2021 - January 15, 2025
CINCAP INVESTMENT GROUP, LLC
June 19, 2007 - June 15, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
June 9, 1970 - June 15, 2007
SEASONGOOD & MAYER
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/2/1970
Registered Representative ExaminationSeries 40
Date: 3/21/1978
Registered Principal ExaminationCurrent Firm
CINCAP INVESTMENT GROUP, LLC
CRD#: 118392 / SEC#: , 8-53652
Contact information
FINRA licenses (38 States and Territories)
Red Flags
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