Richard M. Deutsch
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 Mitchell Deutsch was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 20 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, PC, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2022 - July 11, 2025
SUTTER SECURITIES INCORPORATED
November 17, 2016 - January 15, 2019
B. RILEY WEALTH ADVISORS, INC.
October 27, 2016 - June 3, 2022
NATIONAL SECURITIES CORPORATION
November 1, 2004 - October 26, 2016
LADENBURG THALMANN ASSET MANAGEMENT INC
November 20, 2002 - October 26, 2016
LADENBURG THALMANN & CO. INC.
June 11, 2002 - July 10, 2002
LADENBURG THALMANN & CO. INC.
January 17, 2002 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
January 11, 2000 - November 6, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 31, 1997 - March 1, 2000
R.K. GRACE & COMPANY
July 11, 1994 - June 20, 1997
INVESTORS ASSOCIATES, INC.
July 16, 1991 - July 6, 1994
THE INVESTMENT CENTER, INC.
March 4, 1991 - July 11, 1991
JW GENESIS CLEARING CORP.
September 8, 1989 - March 18, 1991
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 1985 - September 27, 1989
GRUNTAL & CO., L.L.C.
December 4, 1979 - October 1, 1985
JII SECURITIES INC.
January 7, 1976 - November 9, 1981
PHILIPS, APPEL & WALDEN, INC.
November 17, 1975 - January 31, 1976
HEINE, FISHBEIN & CO INC
May 9, 1974 - November 3, 1975
E. L. AARON & CO., INC.
October 12, 1972 - June 1, 1974
SUSSEX CAPITAL CORP.
September 9, 1971 - November 26, 1972
SWANTON SECURITIES, INC.
January 1, 1969 - May 27, 1971
ADVANTAGE CAPITAL CORPORATION
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/1/2000
Limited Representative-Equity Trader ExamPC
Date: 4/4/1977
AMEX Put and Call ExamSeries 1
Date: 12/21/1968
Registered Representative ExaminationCurrent Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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