Richard C. Degraff
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 Chapin Degraff was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 4 firms and has passed the Series 63, SIE, Series 15, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2010 - May 29, 2015
BUELL SECURITIES CORP.
December 14, 1990 - May 28, 2010
COBURN & MEREDITH, INC.
November 26, 1990 - November 30, 1990
COBURN & MEREDITH, INC.
February 26, 1976 - December 3, 1990
CITIGROUP GLOBAL MARKETS INC.
March 11, 1968 - February 26, 1976
SMITH, BARNEY & CO. INCORPORATED
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 15
Date: 3/10/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 11/5/1959
Registered Representative ExaminationCurrent Firm
BUELL SECURITIES CORP.
CRD#: 1342 / SEC#: , 8-22058
Contact information
FINRA licenses (21 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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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