Richard J. Mcdermott
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 Joseph Mcdermott was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 13 firms and has passed the Series 63 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 19, 2001 - October 28, 2002
DIRKS & COMPANY, INC.
April 15, 1999 - May 27, 1999
KASHNER DAVIDSON SECURITIES CORPORATION
March 5, 1999 - April 1, 1999
ARJENT LTD.
January 16, 1998 - September 14, 1998
DIRKS & COMPANY, INC.
December 12, 1996 - December 31, 1997
NATIONAL SECURITIES CORPORATION
October 25, 1993 - January 10, 1997
SCHNEIDER SECURITIES, INC.
July 16, 1993 - October 26, 1993
G.R. STUART & COMPANY, INC.
December 6, 1990 - July 2, 1993
SCHNEIDER SECURITIES, INC.
February 23, 1990 - November 13, 1990
DICKINSON & CO.
June 21, 1988 - February 21, 1990
J. T. MORAN & CO., INC.
June 14, 1984 - June 20, 1988
NORTH AMERICAN INVESTMENT CORP.
February 12, 1982 - June 15, 1984
BURGESS & LEITH INCORPORATED
September 11, 1979 - March 24, 1982
F. L. PUTNAM & COMPANY, INC.
July 28, 1976 - August 17, 1979
FAHNESTOCK INTERNATIONAL INC.
September 17, 1970 - June 18, 1976
BERNARD HEROLD AND COMPANY 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
Current Firm
DIRKS & COMPANY, INC.
CRD#: 42185 / SEC#: , 8-49735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIRKS, JESSY LILLY | CEO | 711347 |
| LOPEZ, DIEGO | OTC TRADER CROP./SROP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
