Richard K. Weinstein
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 Keith Weinstein 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 52TO, SIE, Series 7, Series 53 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
March 24, 2014 - January 2, 2025
BUCKMAN, BUCKMAN & REID, INC.
December 10, 2012 - March 12, 2014
NATIONAL SECURITIES CORPORATION
January 1, 2002 - December 20, 2012
VFINANCE INVESTMENTS, INC
December 9, 1996 - January 1, 2002
FIRST COLONIAL SECURITIES
December 7, 1992 - December 13, 1996
BARBER & BRONSON INCORPORATED
January 7, 1991 - December 7, 1992
BARRON CHASE SECURITIES, INC.
August 29, 1989 - January 14, 1991
PARAGON CAPITAL MARKETS, INC.
December 27, 1985 - September 12, 1989
HUBERMAN SECURITIES CORP.
August 21, 1984 - January 1, 1986
INVESTACORP, INC.
November 30, 1981 - November 16, 1982
ALLIED SECURITIES CORPORATION
April 20, 1981 - July 15, 1981
DIS-COM SECURITIES, INC.
October 24, 1980 - May 20, 1981
BARCLAY FINANCIAL CORP.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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