Richard C. Schaub
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 Crawford Schaub, who also goes by Dick Schaub, Richard C Schaub, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 11 firms and has passed the Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1994 - July 20, 2006
ASSOCIATED SECURITIES CORP.
January 18, 1991 - June 28, 1994
CALIFORNIA ONE INVESTMENTS
July 24, 1989 - February 14, 1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
October 19, 1982 - June 8, 1989
GFC SECURITIES CORPORATION
June 4, 1980 - October 19, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
January 31, 1980 - June 16, 1980
UBS FINANCIAL SERVICES INC.
November 8, 1977 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
December 18, 1975 - December 2, 1977
WHITE, WELD & CO. INCORPORATED
March 5, 1974 - January 11, 1976
DREXEL BURNHAM LAMBERT INCORPORATED
July 2, 1973 - April 8, 1974
DUPONT WALSTON, INCORPORATED
January 15, 1973 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
September 17, 1968 - March 4, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
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 1
Date: 9/13/1968
Registered Representative ExaminationCurrent Firm
ASSOCIATED SECURITIES CORP.
CRD#: 12969 / SEC#: , 8-28568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED FINANCIAL GROUP, INC. | HOLDING COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | VICE PRESIDENT AND CFO, AFFILIATED BROKER-DEALER CONTROLLER | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 7 |
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.
