AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RB

Richard D. Banh

SAPENO
London, W1J 7AD
Some features on this profile are disabled
CRD#: 6785429
RB

Professional summary

Richard Duc Binh Banh is a registered financial professional currently at SAPENO INC. .

Richard is registered as a RR (Registered Representative) and started their career in finance in 2018. Richard has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Duc Binh Banh's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 27, 2022 - Present

SAPENO INC.

Office #1: 6 Derby Street, London, W1J 7AD
BD
CRD#: 124769
London,
Past

February 7, 2018 - June 19, 2020

FIDANTE PARTNERS USA LLC

BD
CRD#: 288469
LONDON,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/27/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/13/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SAPENO INC.
LIABILITY SOLUTIONS INC. | SAPENO INC. | LIABSOL INC.

CRD#: 124769 / SEC#: , 8-65721

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6 Derby Street, London, W1J 7AD
Mailing Address
6 Derby Street, London, W1J 7AD
Phone number
44 7951 588 928
Established
New York since 07/12/2002
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SAPENO PARTNERS LLPOWNER
GENDRON, KAREN MARIEFINOP1503330
MALPAS, RICHARDCEO AND CCO2282527

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.

Company Information

SAPENO INC.

CRD#: 124769London, W1J 7AD

TRUST BUT VERIFY

Monitor Richard Banh

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

SS
Steven SchmidtAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
ST. LOUIS PARK, MN
Derek Quinn Jackson
Derek JacksonAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Phoenix, AZ
Kevin Joel Smith
Kevin SmithAdvisorCheck Check Mark
JANNEY MONTGOMERY SCOTT LLC
IAR
RR
York, PA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics