Richard E. Kramer
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 Elliott Kramer, who also goes by Richard Kramer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2008. Richard had worked at 5 firms and has passed the Series 63, SIE and Series 7 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, 2016 - January 6, 2023
PANMURE LIBERUM INC
June 9, 2014 - December 28, 2015
JEFFERIES LLC
December 17, 2013 - June 11, 2014
EQUITABLE ADVISORS, LLC
September 15, 2009 - July 16, 2013
NATWEST MARKETS SECURITIES INC.
November 24, 2008 - June 3, 2009
BANC OF AMERICA SECURITIES LLC
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
PANMURE LIBERUM INC
CRD#: 148135 / SEC#: , 8-67976
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PANMURE LIBERUM CAPITAL LIMITED | SOLE OWNER | |
| PLANT, JULIAN HUGH BENEDICT | CHIEF EXECUTIVE OFFICER | 1848356 |
| RICCI, RICHARD THOMAS | DIRECTOR | 2575976 |
| VIGLIAROLO, JOSEPH CHARLES | FINOP, CFO, PFO, TREASURER | 4880434 |
| WAGNER, ALAN PHILIP | PRINCIPAL OPERATIONS OFFICER | 3095126 |
| WAGNER, ALAN PHILIP | RESEARCH PRINCIPAL | 3095126 |
| WAGNER, ALAN PHILIP | OPERATIONS MANAGER & CHIEF COMPLIANCE OFFICER | 3095126 |
Red Flags
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