Richard S. Klawans
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 Scott Klawans, who also goes by Scott Klawans, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 10 firms and has passed the Series 63, PC 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
July 20, 2001 - January 2, 2014
BESTVEST INVESTMENTS, LTD.
February 26, 1996 - July 19, 2001
FIRST LIBERTY INVESTMENT GROUP, INC.
August 9, 1990 - February 29, 1996
FIRST MONTAUK SECURITIES CORP.
May 4, 1989 - August 8, 1990
HESS, GRANT & COMPANY, INC.
April 21, 1986 - February 28, 1990
UNI EQ INVESTMENT GROUP, INC.
October 29, 1981 - November 5, 1985
PHILIPS, APPEL & WALDEN, INC.
February 24, 1978 - June 29, 1981
MORGAN STANLEY DW INC.
February 18, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
June 2, 1975 - April 2, 1977
CITIGROUP GLOBAL MARKETS INC.
February 12, 1975 - July 11, 1975
PARRISH SECURITIES INC.
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
PC
Date: 4/28/1989
AMEX Put and Call ExamCurrent Firm
BESTVEST INVESTMENTS, LTD.
CRD#: 40302 / SEC#: , 8-49007
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OC HOLDINGS LLC | OWNER | |
| COONEY, WILLIAM GRESHAM | CHIEF COMPLIANCE OFFICER | 1333702 |
| OCONNOR, JAMES WILLIAM | PRESIDENT AND FINANCIAL PRINCIPAL |
Disclosures
| Regulatory Event | 3 |
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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