Richard A. Burman
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 Alan Burman, who also goes by Dick Burman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 8 firms and has passed the Series 63, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2005 - June 13, 2007
LEGEND SECURITIES, INC.
February 19, 2004 - April 20, 2005
PRESTWICK SECURITIES, INC.
March 24, 2000 - October 10, 2003
QUESTAR CAPITAL CORPORATION
January 28, 1999 - April 10, 2000
VERAVEST INVESTMENTS, INC.
August 27, 1997 - October 28, 1998
QUESTAR CAPITAL CORPORATION
May 6, 1994 - September 8, 1997
MARINER FINANCIAL SERVICES, INC.
May 23, 1985 - October 7, 1986
E. F. HUTTON & COMPANY INC
June 19, 1983 - April 1, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 22, 1981 - July 12, 1984
MANLEY, BENNETT, MCDONALD & CO
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 2
Date: 9/25/1974
Non-Member General Securities ExaminationCurrent Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
