Richard A. Giesen
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 Allyn Giesen JR, who also goes by Rick Giesen Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 6 firms and has passed the Series 63, Series 65, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2006 - December 17, 2015
ELESSAR INVESTMENT MANAGEMENT, LLC
January 8, 2002 - June 19, 2003
FUNDS DISTRIBUTOR, LLC
December 22, 1993 - April 18, 1995
THE CHICAGO CORPORATION
November 15, 1993 - December 8, 1993
GE INVESTMENT DISTRIBUTORS, INC
April 2, 1987 - April 2, 1991
LAZARD FRERES & CO. LLC
July 20, 1981 - August 23, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ELESSAR INVESTMENT MANAGEMENT, LLC
CRD#: 137797 / SEC#: 801-72284
Contact information
Documents
Red Flags
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