Richard M. Davol
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 Melvyn Davol, who also goes by Richard Melvin Davol, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 11 firms and has passed the Series 63, Series 7, Series 1, Series 53, Series 4, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2007 - January 23, 2014
AXIOM ASSET MANAGEMENT
July 11, 2005 - December 31, 2012
PURSHE KAPLAN STERLING INVESTMENTS
January 6, 2004 - December 21, 2007
AXIOM ASSET MANAGEMENT, LLC
April 1, 2003 - July 24, 2003
MUTUAL SERVICE CORPORATION
June 3, 1996 - June 14, 2002
RUBICON SECURITIES
March 24, 1988 - June 10, 1996
FUHRMAN - MATT SECURITIES, INC.
January 15, 1981 - March 7, 1988
RESOURCE SECURITIES, INC.
January 19, 1980 - July 27, 1980
E. F. HUTTON & COMPANY INC
August 15, 1973 - May 15, 1974
XEBEC CAPITAL CORPORATION
February 1, 1973 - June 28, 1973
J. MORGENSTERN & CO.
June 9, 1969 - April 26, 1972
RICHARD M DAVOL & CO INC
Primary Firm SEC Registration
AXIOM ASSET MANAGEMENT
CRD#: 145186 / SEC#: 801-68405
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: 5/16/1960
Registered Representative ExaminationSeries 00
Date: 4/1/1969
General Securities Principal ExaminationCurrent Firm
AXIOM ASSET MANAGEMENT
CRD#: 145186 / SEC#: 801-68405
Contact information
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 598 |
| AUM (Assets Under Management) | $ 802,765,223 |
Red Flags
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