Richard San Miguel
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 San Miguel, who also goes by Richard Michaels, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2008. Richard had worked at 3 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 5, 2016 - December 19, 2016
LEGEND SECURITIES, INC.
May 8, 2013 - November 19, 2013
LEGEND SECURITIES, INC.
February 2, 2011 - May 10, 2011
GARDEN STATE SECURITIES, INC.
September 23, 2009 - July 12, 2010
GARDEN STATE SECURITIES, INC.
August 14, 2008 - October 6, 2009
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
