Richard T. Sylvester
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 Thomas Sylvester was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. 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
January 20, 2005 - December 31, 2012
INVESTORS CAPITAL CORP.
May 12, 2003 - December 31, 2004
EASTERN POINT ADVISORS INC.
February 5, 2002 - December 31, 2012
INVESTORS CAPITAL CORP.
February 11, 2000 - February 4, 2002
BROOKLIGHT PLACE SECURITIES, INC.
August 13, 1985 - February 11, 2000
SECURIAN FINANCIAL SERVICES, INC.
October 20, 1980 - May 13, 1985
EQUITABLE ADVISORS, LLC
March 12, 1973 - May 13, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 3/6/1973
Registered Representative ExaminationCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
