Richard A. Sena
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 Allen Sena, who also goes by Dick Sena, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2020 - May 3, 2021
CINCAP INVESTMENT GROUP, LLC
November 24, 1992 - June 15, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
May 10, 1989 - June 7, 1990
LUMENT SECURITIES, LLC
January 14, 1988 - April 21, 1989
RDSC, LLC
November 3, 1980 - October 13, 1987
BLANK, CONGER & SENA, INCORPORATED
July 30, 1970 - November 2, 1980
GRADISON & COMPANY 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: 1/14/1964
Registered Representative ExaminationCurrent Firm
CINCAP INVESTMENT GROUP, LLC
CRD#: 118392 / SEC#: , 8-53652
Contact information
FINRA licenses (38 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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