Richard D. Eisenstodt
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 D Eisenstodt, who also goes by Richard David Eisenstadt, Richard David Eisenstodt, Richard W Eisentodt, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 14 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2010 - March 1, 2013
BOENNING & SCATTERGOOD, INC.
June 11, 2007 - August 23, 2010
CITIGROUP GLOBAL MARKETS INC.
May 30, 2007 - August 23, 2010
CITIGROUP GLOBAL MARKETS INC.
February 23, 2006 - February 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2006 - February 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 2004 - August 31, 2005
KEEFE, BRUYETTE & WOODS, INC.
May 30, 1997 - November 24, 2004
UBS FINANCIAL SERVICES INC.
November 10, 1995 - June 13, 1997
RAYMOND JAMES & ASSOCIATES, INC.
October 8, 1994 - September 29, 1995
PERSHING LLC
September 16, 1986 - October 5, 1994
J.P. MORGAN SECURITIES LLC
June 13, 1985 - September 29, 1986
KEYBANC CAPITAL MARKETS INC.
May 24, 1983 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
December 28, 1982 - June 6, 1985
NATHAN & LEWIS SECURITIES, INC.
September 16, 1980 - December 5, 1984
USLIFE EQUITY SALES CORP.
June 27, 1972 - January 1, 1979
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 27, 1972 - January 1, 1979
MONY SECURITIES CORPORATION
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 1
Date: 6/22/1972
Registered Representative ExaminationCurrent Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
