Richard F. Seifer
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 Franklin Seifer was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 12 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 10, Series 9, Series 53 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
January 3, 2007 - December 31, 2021
HEROLD & LANTERN INVESTMENTS, INC.
November 21, 2005 - January 24, 2007
AEGIS CAPITAL CORP.
May 16, 1997 - December 31, 2007
APEX CLEARING CORPORATION
October 14, 1993 - December 31, 2005
BERNARD, RICHARDS SECURITIES, INC.
March 31, 1993 - November 2, 1993
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
November 1, 1990 - April 7, 1993
PURCELL GRAHAM INCORPORATED
May 9, 1988 - October 11, 1990
GRUNTAL & CO., L.L.C.
May 25, 1982 - May 13, 1988
MULLER AND COMPANY, INC.
September 16, 1977 - April 30, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
September 15, 1971 - February 27, 1976
BACHE & 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 9/13/1971
Registered Representative ExaminationCurrent Firm
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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