Richard S. Levey
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 Stephen Levey, who also goes by Richard S Levey, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 12 firms and has passed the Series 63, Series 3, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - December 31, 2013
FIRST LIBERTIES FINANCIAL
March 17, 2010 - December 31, 2010
NORTHEAST SECURITIES, LLC
June 13, 2007 - May 6, 2008
BISHOP, ROSEN & CO., INC.
February 17, 2005 - September 8, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 12, 1992 - March 8, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 2, 1992 - August 13, 1992
OPPENHEIMER & CO. INC.
January 22, 1990 - December 31, 1991
W.H. NEWBOLD'S SON & CO., INC.
July 9, 1980 - February 7, 1990
BUTCHER & SINGER INC.
August 24, 1977 - August 7, 1980
WOODMERE SECURITIES, INC.
August 27, 1976 - September 15, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
May 27, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
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: 6/1/1977
AMEX Put and Call ExamSeries 8
Date: 12/4/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
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.
