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RS

Richard G. Sonkin

Some features on this profile are disabled
CRD#: 708612
RS

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 Glenn Sonkin was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 24 and Series 4 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 3, 2006 - February 18, 2025

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
NEW YORK, NY
Past

September 22, 2006 - February 18, 2025

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 6, 2006 - September 25, 2006

KBR CAPITAL MARKETS, LLC

BD
CRD#: 128800
NEW YORK, NY
Past

August 25, 2005 - January 18, 2006

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
NEW YORK, NY
Past

August 10, 2005 - January 18, 2006

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

October 18, 2004 - September 12, 2005

CLARK DODGE & CO., INC.

BD
CRD#: 23288
WHITE PLAINS, NY
Past

November 20, 2002 - October 26, 2004

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

August 4, 1994 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

December 8, 1993 - August 16, 1994

D. BLECH & COMPANY, INCORPORATED

BD
CRD#: 26063
NEW YORK, NY
Past

June 7, 1993 - December 22, 1993

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

April 2, 1992 - May 6, 1993

D. BLECH & COMPANY, INCORPORATED

BD
CRD#: 26063
NEW YORK, NY
Past

April 10, 1990 - April 10, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 25, 1983 - April 9, 1990

O. H. ASHLEY & CO., INC.

BD
CRD#: 7173
Past

January 19, 1982 - March 11, 1983

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

July 7, 1980 - October 13, 1981

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

May 22, 1980 - April 9, 1990

O. H. ASHLEY & CO., INC.

BD
CRD#: 7173

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC

CRD#: 108604 / SEC#: 801-54909

RIA
Registered Investment Advisory firm - (10/16/1997 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/23/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/29/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/11/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/17/1983
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/23/1983
Registered Options Principal Examination

Current Firm

LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC

CRD#: 108604 / SEC#: 801-54909

RIA
Registered Investment Advisory firm - (10/16/1997 Approved)
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Contact information

Main Address
640 Fifth Avenue 4th Fl., New York, NY 10019
Mailing Address
Phone number
(800) 995-5267
Established
Firm type
Fiscal year end
# of Employees
33

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LADENBURG THALMANN ASSET MANAGEMENT INC - LADENBURG ASSET MANAGEMENT PROGRAM - MANAGED ANNUITIES (9/15/2025)
PLAN SPONSOR & PLAN PARTICIPANT SERVICES BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - PRIVATE INVESTMENT MANAGEMENT (PIM) WRAP FEE BROCHURE (9/15/2025)
$YMBIL PROGRAM BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - FORM ADV PART 2A - FIRM BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - ARCHITECT WRAP FEE BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - INVESTMENT CONSULTANT SERVICES (ICS) WRAP FEE BROCHURE (9/15/2025)
LADENBURG THALMANN ASSET MANAGEMENT INC - LADENBURG ASSET MANAGEMENT PROGRAM (LAMP) WRAP FEE BROCHURE (9/15/2025)

Regulatory assets under management

Total Number of Accounts3,334
AUM (Assets Under Management)$ 5,611,078,759

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

LADENBURG THALMANN ASSET MANAGEMENT INC

CRD#: 108604

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