Richard M. Viesta
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 Martin Viesta, who also goes by Lrichard Martin VIesta, Richard M Viesta, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 12 firms and has passed the Series 63, SIE 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 4, 2007 - January 20, 2015
NORTH RIDGE SECURITIES CORP.
January 3, 2006 - December 31, 2006
THE INVESTMENT CENTER, INC.
March 3, 2004 - December 31, 2005
PGP FINANCIAL, INC.
December 20, 1999 - December 31, 2003
PRIME CAPITAL SERVICES, INC.
January 1, 1999 - December 9, 1999
PMG SECURITIES CORPORATION
August 11, 1995 - December 18, 1998
GUARDIAN INVESTOR SERVICES LLC
December 21, 1991 - August 10, 1995
INVESTORS ASSOCIATES, INC.
December 11, 1986 - December 31, 1990
NATHAN & LEWIS SECURITIES, INC.
December 21, 1978 - December 17, 1986
MONY SECURITIES CORPORATION
December 21, 1978 - February 12, 1987
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
November 29, 1973 - October 22, 1977
TOWER SQUARE SECURITIES, INC.
January 19, 1970 - December 5, 1973
INVESTOR CENTER INC
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: 11/21/1973
Registered Representative ExaminationCurrent Firm
NORTH RIDGE SECURITIES CORP.
CRD#: 27098 / SEC#: 801-108451, 8-42879
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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