Richard Leighton
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 Leighton, who also goes by Richard James Leighton, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2012. Richard had worked at 13 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2022 - December 19, 2023
NEWMARK SECURITIES, LLC
April 24, 2019 - May 27, 2020
CFWP SECURITIES, LLC
April 24, 2019 - November 20, 2020
CASTLEOAK SECURITIES, LP
April 24, 2019 - July 1, 2021
SUNRISE BROKERS LLC
April 24, 2019 - September 19, 2022
AQUA SECURITIES L.P.
April 24, 2019 - December 19, 2023
MINT BROKERS
April 24, 2019 - December 19, 2023
GFI SECURITIES LLC
April 24, 2019 - December 19, 2023
FMX EXECUTION, LLC
April 24, 2019 - December 19, 2023
CF SECURED, LLC
April 24, 2019 - December 19, 2023
BGC FINANCIAL, L.P.
April 16, 2019 - December 19, 2023
CANTOR FITZGERALD & CO.
August 25, 2016 - April 12, 2019
BROKERTEC AMERICAS LLC
February 24, 2015 - October 19, 2016
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 15, 2014 - October 6, 2015
FMX EXECUTION, LLC
April 17, 2012 - July 14, 2015
GFI 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NEWMARK SECURITIES, LLC
CRD#: 309193 / SEC#: , 8-70554
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWMARK PARTNERS, L.P. | SOLE MEMBER | |
| DAVIS, JOSHUA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 7761240 |
| KUEHNEN, ERIC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 4577416 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SMIGEL, STEPHEN JARED | CHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2401258 |
Red Flags
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