Richard S. From
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 Scott From, who also goes by Richard S Winther, Richard Scott Winther, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2016 - November 3, 2023
BOUSTEAD SECURITIES, LLC
June 24, 2014 - May 11, 2016
EQUINOX SECURITIES, INC.
December 21, 2011 - June 20, 2012
PEYTON, CHANDLER & SULLIVAN, INC.
November 5, 2001 - November 7, 2011
PEYTON, CHANDLER & SULLIVAN, INC.
December 9, 1999 - April 6, 2001
HOTOVEC, POMERANZ & CO., LLC
August 11, 1997 - January 7, 2000
CAPBAY FINANCIAL SERVICES
July 20, 1995 - May 5, 1997
ROUND HILL SECURITIES, INC.
June 27, 1995 - July 8, 1995
GLOBAL STRATEGIES GROUP, INC.
June 30, 1994 - April 21, 1995
UBS FINANCIAL SERVICES INC.
June 6, 1988 - July 12, 1994
MORGAN STANLEY DW INC.
December 13, 1985 - December 8, 1987
WESTAMERICA INVESTMENT GROUP
July 10, 1985 - October 15, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
November 1, 1984 - March 8, 1985
DREXEL BURNHAM LAMBERT INCORPORATED
January 19, 1980 - September 7, 1984
E. F. HUTTON & COMPANY 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationCurrent Firm
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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