Richard A. 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 Allen Vandermass was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2004 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
August 26, 2004 - June 3, 2015
STRATEGIC ADVISERS LLC
January 26, 2004 - June 2, 2015
FIDELITY BROKERAGE SERVICES LLC
April 20, 2001 - December 17, 2003
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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
Current firm
No current employment
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.
