Richard A. Solmen
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 Solmen, who also goes by Dick Solmen, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 6 firms and has passed the Series 63 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
May 2, 2002 - December 31, 2002
EQUITAS AMERICA, LLC
July 16, 1999 - November 13, 2000
LOCUST STREET SECURITIES, INC.
February 7, 1997 - July 2, 1999
VOYA FINANCIAL ADVISORS, INC.
March 8, 1995 - December 31, 1996
MARINER FINANCIAL SERVICES, INC.
June 30, 1987 - March 7, 1995
OSAIC FS, INC.
December 9, 1981 - July 11, 1985
ILG 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 1
Date: 9/21/1970
Registered Representative ExaminationCurrent Firm
EQUITAS AMERICA, LLC
CRD#: 39806 / SEC#: , 8-48840
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
