Richard L. Yett
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 Lyon Yett was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 6 firms and has passed the SIE, Series 86, Series 87, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1984 - January 30, 2018
MONNESS CRESPI HARDT & CO., INC.
July 15, 1983 - April 20, 1984
OCWEN TRADING, INC.
October 23, 1980 - April 21, 1983
NEUBERGER BERMAN BD LLC
October 10, 1979 - October 26, 1980
GORDON, HASKETT & CO.
May 21, 1976 - September 30, 1979
L. F. ROTHSCHILD & CO. INCORPORATED
May 21, 1971 - May 29, 1976
ALLIANCE ONE INSTITUTIONAL SERVICES 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
Series 1
Date: 12/26/1961
Registered Representative ExaminationSeries 40
Date: 6/25/1973
Registered Principal ExaminationCurrent Firm
MONNESS CRESPI HARDT & CO., INC.
CRD#: 7424 / SEC#: , 8-21380
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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