Richard A. Rubinstein
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 Allan Rubinstein SR. was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 1 firm and has passed the Series 1 and Series 40 exams.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 1979 - June 11, 2019
THOMPSON RUBINSTEIN INVESTMENT MANAGEMENT INC
State Registrations and Notice Filings
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Exams
Series 1
Date: 9/17/1957
Registered Representative ExaminationSeries 40
Date: 11/28/1969
Registered Principal ExaminationCurrent Firm
THOMPSON RUBINSTEIN INVESTMENT MANAGEMENT INC
CRD#: 104798 / SEC#: 801-14599
Contact information
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