Richard A. Buhr
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 Buhr, who also goes by Richard Allen Buhr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 6 firms and has passed the SIE, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2004 - December 2, 2014
CHATSWORTH SECURITIES LLC
February 1, 1996 - September 13, 2004
RAFFERTY CAPITAL MARKETS, LLC
November 10, 1993 - December 13, 1995
CANTOR FITZGERALD SECURITIES
June 25, 1993 - December 13, 1995
MINT BROKERS
June 9, 1983 - June 17, 1993
HARTFIELD, TITUS & DONNELLY, LLC
December 21, 1977 - January 20, 1983
J.J. KENNY DRAKE, 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
Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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