Richard D. Grimes
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 Drew Grimes was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 11 firms and has passed the SIE, Series 55, Series 7, Series 4 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
October 13, 2014 - February 3, 2015
COWEN PRIME SERVICES LLC
May 17, 2010 - October 15, 2012
DU PASQUIER & CO., INC.
November 3, 2009 - May 10, 2010
MERIDIAN EQUITY PARTNERS, INC.
August 2, 2004 - October 30, 2009
WEISS MULTI-STRATEGY FUNDS LLC
January 14, 2004 - September 1, 2004
GEORGE WEISS ASSOCIATES, INC.
January 14, 2004 - September 1, 2004
GEORGE WEISS & COMPANY LLC
June 4, 2002 - January 7, 2004
SANDERS MORRIS LLC
April 3, 2002 - May 8, 2002
GEORGE WEISS & COMPANY LLC
April 1, 2002 - May 8, 2002
GEORGE WEISS ASSOCIATES, INC.
July 1, 2000 - March 6, 2002
SANDERS MORRIS LLC
May 3, 1988 - July 1, 2000
BLACKFORD SECURITIES CORP.
March 22, 1988 - April 21, 1988
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
February 4, 1981 - May 6, 1988
E. F. HUTTON & COMPANY INC
July 22, 1980 - June 30, 1981
KIDDER, PEABODY & CO. INCORPORATED
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 55
Date: 12/22/2008
Limited Representative-Equity Trader ExamCurrent Firm
COWEN PRIME SERVICES LLC
CRD#: 153397 / SEC#: , 8-68531
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
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.
