Richard J. Quimby
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 J Quimby, who also goes by Richard James Quimby III, Richard Quimby, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2010 - July 13, 2012
CION SECURITIES, LLC
February 22, 2010 - March 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2005 - December 31, 2008
COREBRIDGE CAPITAL SERVICES, INC.
May 4, 2004 - January 28, 2005
TAFFERER TRADING, LLC
January 22, 2002 - March 19, 2004
EQUITABLE DISTRIBUTORS, LLC
May 3, 2000 - January 22, 2002
HARRISDIRECT LLC
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 55
Date: 5/26/2004
Limited Representative-Equity Trader ExamCurrent Firm
CION SECURITIES, LLC
CRD#: 15487 / SEC#: , 8-32283
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
