Richard H. Sacks
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 Harris Sacks was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1976. Richard had worked at 11 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 53, F04, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2005 - February 28, 2006
AFM INVESTMENTS, INC.
January 14, 2003 - December 31, 2007
KAREL GORDON INVESTMENT ASSOCIATES INC
April 29, 1998 - December 31, 2002
KAREL GORDON INVESTMENT ASSOCIATES INC
July 10, 1996 - December 31, 2004
AFM INVESTMENTS, INC.
September 16, 1992 - June 13, 1996
WATERSTONE FINANCIAL GROUP, INC.
March 18, 1987 - October 17, 1990
EQUITYLINE SECURITIES, INC.
August 23, 1983 - March 2, 1987
SUMMIT BROKERAGE SERVICES, INC.
October 4, 1982 - December 27, 1982
ALLIED SECURITIES CORPORATION
October 27, 1980 - December 27, 1982
BARCLAY FINANCIAL CORP.
January 31, 1980 - April 25, 1980
UBS FINANCIAL SERVICES INC.
April 24, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 11, 1977 - April 13, 1978
DREXEL BURNHAM LAMBERT INCORPORATED
March 1, 1976 - April 5, 1977
E. F. HUTTON & COMPANY 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 5
Date: 12/12/1981
Interest Rate Options ExaminationF04
Date: 12/17/1980
Financial Principal ExaminationCurrent Firm
AFM INVESTMENTS, INC.
CRD#: 24584 / SEC#: , 8-41265
Contact information
Documents
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.
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