Richard G. Liese
Professional summary
Richard Grover Liese was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Richard had worked at 4 firms, which includes LIME TRADING CORP, STIFEL NICOLAUS & COMPANY INCORPORATED, RAUSCHER PIERCE REFSNES INC., R. L. STEWART & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1985 - December 10, 1986
LIME TRADING CORP
February 17, 1984 - October 19, 1984
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 4, 1984 - February 10, 1984
RAUSCHER PIERCE REFSNES, INC.
February 22, 1982 - April 2, 1984
R. L. STEWART & CO., 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
Series 8
Date: 7/8/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIME TRADING CORP
CRD#: 11826 / SEC#: , 8-27061
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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