Brian S. Richards
Professional summary
Brian Scott Richards is a registered financial professional currently at HORANG SECURITIES, LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2005. Brian has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Scott Richards's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2019 - Present
HORANG SECURITIES, LLC
Office #1: 27 W 72nd St #810, New York, NY 10023January 3, 2018 - October 29, 2019
OBERON SECURITIES, LLC
June 24, 2015 - February 16, 2017
HOULIHAN LOKEY CAPITAL, INC.
November 21, 2005 - January 4, 2016
M.E.S.A. SECURITIES, 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
(10/30/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HORANG SECURITIES, LLC
CRD#: 6004 / SEC#: , 8-16608
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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