Richard R. Seitz
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 Robert Seitz was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1973. Richard had worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2013 - December 31, 2023
QUASAR DISTRIBUTORS, LLC
February 28, 2006 - August 8, 2011
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - August 8, 2011
FRANKLIN DISTRIBUTORS, LLC
October 16, 1993 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
December 11, 1992 - August 27, 1993
GROVE POINT INVESTMENTS, LLC
May 14, 1988 - December 21, 1992
LEHMAN BROTHERS INC.
August 18, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
May 14, 1985 - May 12, 1986
DE ANZA SECURITIES, INC.
June 19, 1973 - January 22, 1985
CENTURA SECURITIES CORPORATION
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 ExaminationSeries 00
Date: 6/7/1973
General Securities Principal ExaminationCurrent Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
