Richard L. Waldman
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 Lucky Waldman, who also goes by Richard Lucicy Waldman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 7 firms and has passed the Series 6 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
April 22, 2002 - April 23, 2002
VERITRUST FINANCIAL, LLC
January 8, 1991 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
March 7, 1989 - October 17, 1990
GUARDIAN INVESTOR SERVICES LLC
August 15, 1986 - March 2, 1989
CADARET, GRANT & CO., INC.
November 1, 1985 - July 18, 1986
BROADPOINT DESCAP
February 18, 1982 - March 3, 1986
PRUCO SECURITIES, LLC.
August 25, 1975 - September 17, 1986
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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: 8/20/1975
Registered Representative ExaminationCurrent Firm
VERITRUST FINANCIAL, LLC
CRD#: 106594 / SEC#: 801-71237, 8-53006
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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