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Richard A. Cavileer

Some features on this profile are disabled
CRD#: 4384490
RC

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 Anthony Cavileer was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 17, 2013 - March 13, 2015

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
EDISON, NJ
Past

June 20, 2012 - December 17, 2013

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
STATEN ISLAND, NY
Past

October 4, 2010 - June 22, 2012

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
NEW YORK, NY
Past

November 5, 2008 - October 13, 2010

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
NEW YORK, NY
Past

October 17, 2007 - November 11, 2008

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
STATEN ISLAND, NY
Past

January 29, 2007 - October 5, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
STATEN ISLAND, NY
Past

November 26, 2003 - February 9, 2007

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NEW YORK, NY
Past

February 24, 2003 - November 24, 2003

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

November 20, 2002 - March 5, 2003

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

May 30, 2001 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/13/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/29/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/20/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/3/2008
General Securities Principal Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

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.

Company Information

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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