Richard A. Wabnik
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 Allan Wabnik was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 12 firms and has passed the Series 63, SIE, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2015 - September 1, 2016
CHELSEA FINANCIAL SERVICES
June 11, 2012 - April 7, 2015
RIDGEWAY & CONGER, INC.
July 11, 2002 - July 2, 2012
AMERICA INVEST ONLINE, INC.
September 18, 1995 - June 19, 2002
PRESTIGE FINANCIAL CENTER, INC.
August 4, 1994 - September 20, 1995
GRAYSON FINANCIAL LLC
May 26, 1994 - August 19, 1994
PRESTIGE FINANCIAL CENTER, INC.
January 5, 1990 - June 7, 1994
AMERICA INVEST ONLINE, INC.
September 17, 1988 - October 14, 1989
SHELTER ROCK SECURITIES CORP.
July 10, 1986 - August 29, 1988
CHAYKA & LOEB INC.
April 29, 1980 - July 10, 1986
HAAS SECURITIES CORPORATION
April 9, 1980 - May 11, 1980
LEHMAN BROTHERS INC.
January 16, 1973 - June 12, 1979
MULLER AND COMPANY, INC.
March 18, 1971 - December 28, 1973
J. S. LOVE & COMPANY, INC.
June 13, 1969 - April 5, 1971
C B BEAL & CO LTD
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 00
Date: 6/3/1969
General Securities Principal ExaminationCurrent Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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