Richard S. Vandermass
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 Stockton Vandermass, who also goes by Richard S. Vandermass, Richard Vandermass, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 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
June 30, 2020 - July 31, 2024
CTC, LLC
December 14, 2009 - December 31, 2010
MORGAN STANLEY & CO. LLC
December 9, 2009 - June 9, 2020
MORGAN STANLEY & CO. LLC
August 2, 2006 - August 25, 2008
MORGAN STANLEY & CO. LLC
September 25, 2000 - February 24, 2005
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/24/2007
Limited Representative-Equity Trader ExamCurrent Firm
CTC, LLC
CRD#: 44597 / SEC#: , 8-50758
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
Red Flags
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