Isadore Richman
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.
Isadore Richman was a registered financial professional .
Isadore is a previously registered financial professional and started their career in finance in 1971. Isadore had worked at 3 firms and has passed the PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2000 - July 3, 2006
BAIRD, PATRICK & CO., INC.
July 31, 1990 - March 21, 2000
BAIRD, PATRICK & CO., INC.
May 29, 1990 - July 26, 1990
JJC SECURITIES CO., INC.
March 25, 1971 - May 29, 1990
JSC SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 3/18/1971
Registered Representative ExaminationCurrent Firm
BAIRD, PATRICK & CO., INC.
CRD#: 1149 / SEC#: , 8-18029
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 2 |
Red Flags
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