Richard A. Stine
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 A Stine, who also goes by Richard Stine, Rich Stine, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2011. Richard had worked at 5 firms and has passed the Series 66, 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
November 20, 2015 - March 2, 2018
WESTPORT CAPITAL MARKETS, LLC
November 20, 2015 - March 2, 2018
WESTPORT CAPITAL MARKETS, LLC
June 5, 2015 - November 24, 2015
J.P. MORGAN SECURITIES LLC
June 5, 2015 - November 24, 2015
J.P. MORGAN SECURITIES LLC
January 15, 2014 - June 15, 2015
DEUTSCHE BANK SECURITIES INC.
June 19, 2012 - June 15, 2015
DEUTSCHE BANK SECURITIES INC.
March 27, 2012 - June 26, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 2011 - June 26, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
February 14, 2011 - April 5, 2011
COMMERCE ONE FINANCIAL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WESTPORT CAPITAL MARKETS, LLC
CRD#: 41562 / SEC#: 801-53842, 8-49495
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCLURE, CHRISTOPHER EDWARD | PRESIDENT & CEO, CFO, CHIEF COMPLIANCE OFFICER, PFO, POO | 2289844 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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