Richard H. Bagnall
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 Hughes Bagnall was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 3 firms and has passed the 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
February 1, 2011 - December 31, 2013
HIGH STREET SECURITIES, INC.
June 13, 1991 - December 31, 2010
PRINCIPAL SECURITIES, INC.
October 16, 1982 - February 27, 1991
NYLIFE SECURITIES LLC
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: 4/30/1975
Registered Representative ExaminationCurrent Firm
HIGH STREET SECURITIES, INC.
CRD#: 104201 / SEC#: , 8-52657
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGH STREET ASSET MANAGEMENT, LLC | OWNER | |
| GRAFF, PAUL RICHARD | GENERAL SECURITIES PRINCIPAL - ASS'T TO DP | 1355392 |
| TERRY, JOHN LUDLOW III | CHIEF FINANCIAL OFFICER | 1972803 |
| TERRY, JOHN LUDLOW III | CHIEF EXECUTIVE OFFICER, PRESIDENT & EXECUTIVE REPRESENTATIVE, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER | 1972803 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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