Richard G. Fath
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 Grant Fath, who also goes by Grant Fath, Richard Fath, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2016. Richard had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2021 - December 7, 2021
ALLY INVEST SECURITIES LLC
September 8, 2016 - July 10, 2019
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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