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RS

Richard K. Sanders

MARKS BAUGHAN SECURITIES LLC
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 7578802
RS

Professional summary

Richard Keane Sanders, who also goes by Richard Keane Sanders, Richard Sanders, Keane Sanders, is a registered financial professional currently at MARKS BAUGHAN SECURITIES LLC located in Conshohocken, Pennsylvania.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2023. Richard has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Keane Sanders | Richard Sanders | Keane Sanders

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) - BD

Click below to view Richard Keane Sanders's CRS (Customer Relationship Summary).

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

Current

October 7, 2024 - Present

MARKS BAUGHAN SECURITIES LLC

Office #1: 161 Washington St., Suite 1390, Conshohocken, PA 19428
BD
CRD#: 132652
Conshohocken, PA
Past

July 25, 2023 - June 27, 2024

HARRIS WILLIAMS

BD
CRD#: 113930
RICHMOND, VA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Pennsylvania
(10/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/28/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/25/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/18/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MB
MARKS BAUGHAN SECURITIES LLC
MARKS BAUGHAN SECURITIES LLC | MARKS, BAUGHAN & CO. LLC

CRD#: 132652 / SEC#: , 8-66615

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
161 Washington St., Suite 1390, Conshohocken, PA 19428
Mailing Address
161 Washington St., Suite 1390, Conshohocken, PA 19428
Phone number
(610) 941-5647
Established
Delaware since 03/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BAUGHAN, JOHN NICHOLASMANAGING MEMBER / CCO1902500
TAKEUCHI, WILLIAM JUNCHIEF OPERATING OFFICER2931748
THORNTON, STEVEN LEEFINOP4496384

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

MARKS BAUGHAN SECURITIES LLC

CRD#: 132652Conshohocken, PA 19428

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