Richard E. Silverman
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 Eric Silverman, who also goes by Rick Silverman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 11 firms and has passed the Series 55, PC, Series 7 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 10, 2001 - March 19, 2001
BROADBAND CAPITAL MANAGEMENT, LLC
November 6, 1997 - December 20, 2000
GKN SECURITIES CORP.
June 23, 1995 - September 15, 1997
RICKEL & ASSOCIATES, INC.
October 31, 1994 - July 13, 1995
JOSEPHTHAL & CO., INC.
December 22, 1993 - June 29, 1995
D. BLECH & COMPANY, INCORPORATED
December 1, 1992 - December 22, 1993
REICH & CO., INC.
October 22, 1991 - December 1, 1992
REICH & CO., INC.
August 23, 1989 - January 3, 1991
SMITH NEW COURT, INC.
April 17, 1979 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
July 29, 1977 - April 24, 1979
TROSTER SINGER CORPORATION
March 26, 1976 - February 13, 1978
SINGER SECURITIES
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 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamPC
Date: 5/24/1979
AMEX Put and Call ExamCurrent Firm
BROADBAND CAPITAL MANAGEMENT, LLC
CRD#: 48001 / SEC#: , 8-51992
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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