Richard B. Graibus
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 Bruce Graibus was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 9 firms and has passed the Series 63 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 1992 - June 11, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
October 10, 1991 - January 29, 1992
ADAMS SECURITIES, INC.
October 20, 1988 - January 16, 1990
FINNET SECURITIES, INC.
January 22, 1985 - August 29, 1988
J. W. GANT & ASSOCIATES, INC.
December 1, 1980 - December 26, 1984
CHESLEY AND DUNN, INC.
August 29, 1980 - November 27, 1980
WALFORD, DEMARET & CO., INC.
May 28, 1978 - September 14, 1980
AMERICAN WESTERN SECURITIES, INC.
October 17, 1977 - May 28, 1978
AMERICAN WESTERN SECURITIES, INC.
February 2, 1976 - November 10, 1977
FIRST COLORADO INVESTMENTS & 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
Series 40
Date: 1/23/1976
Registered Principal ExaminationCurrent Firm
AMERICAN FRONTEER FINANCIAL CORPORATION
CRD#: 1398 / SEC#: , 8-18200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E-VISION USA.COM | SHAREHOLDER | |
| CHAN, TONGWAN | DIRECTOR AND MANAGING DIRECTOR OF CORPORATE FINANCE | 3011739 |
| COOK, GARY LYNN | CHIEF FINANCIAL OFFICER, DIRECTOR | 2735820 |
| FISHBEIN, STEVEN MICHAEL | DIRECTOR,VICE PRESIDENT & MANAGER TRADING DEPARTMENT | 843134 |
| HERRING, SARA FITZSIMMONS | DIRECTOR,VICE PRESIDENT OF COMPLIANCE | 1003754 |
| PADILLA, JOSE ANTONIO | DIRECTOR AND CHIEF OPERATING OFFICER | 1925223 |
| SALISBURY, JOANN ROBYN | SENIOR REGISTERED OPTIONS PRINCIPAL | 1037278 |
| TRAPP, ROBERT HERMAN | DIRECTOR AND PRESIDENT | 2246323 |
| ZUCKER, BRIAN FRED | DIRECTOR |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 19 |
Red Flags
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