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RS

Richard M. Sword

CABOT LODGE SECURITIES LLC
Jackson, WY
Some features on this profile are disabled
CRD#: 827783
RS

Professional summary

Richard Morgan Sword Sr., who also goes by Richard Morgan Sword, is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in Jackson, Wyoming.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1976. Richard has worked at 11 firms and has passed the Series 63, Series 52TO, Series 6TO, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Morgan Sword

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Morgan Sword Sr.'s CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 7, 2019 - Present

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
Jackson, WY
Past

October 25, 2017 - October 18, 2019

IFS SECURITIES

BD
CRD#: 40375
Princeton, NJ
Past

March 12, 2015 - October 4, 2017

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
Lincroft, NJ
Past

April 25, 2014 - March 16, 2015

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
LINCROFT, NJ
Past

January 31, 2011 - October 30, 2013

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

March 1, 2007 - December 31, 2010

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
PRINCETON, NJ
Past

May 5, 2003 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
PRINCETON, NJ
Past

September 9, 1993 - October 11, 2004

STOCK SECURITIES LLC

BD
CRD#: 32244
STAMFORD, CT
Past

July 10, 1989 - June 17, 1993

FEELEY & WILLCOX SECURITIES CORP.

BD
CRD#: 7614
NEW YORK, NY
Past

December 12, 1988 - April 3, 1989

MURIEL SIEBERT & CO., LLC

BD
CRD#: 5376
NEW YORK, NY
Past

September 23, 1976 - December 23, 1988

WM SWORD & CO. INCORPORATED

BD
CRD#: 7122

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maryland
(10/8/2019)
RR
Massachusetts
(10/21/2019)
RR
New Jersey
(10/22/2019)
RR
New York
(10/22/2019)
RR
Pennsylvania
(10/8/2019)
RR
Wyoming
(10/14/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 1/24/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/19/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CL
CABOT LODGE SECURITIES LLC
CABOT LODGE SECURITIES LLC | WENTWORTH CAPITAL MARKETS | PRIME UNITED SECURITIES LLC

CRD#: 159712 / SEC#: , 8-69009

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Phone number
(212) 388-6200
Established
Delaware since 10/21/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS LLCMEMBER
FEIGENBLATT, ELANA RACHELCOO4880188
GOULD, CRAIG MICHAELPRESIDENT/CEO2367293
LEIBOWITZ, ROGER FARRELLFINOP2536523
SMITH, STEPHEN JOSEPHOPTIONS PRINCIPAL1123669
WEBB, WILLIAM DUDLEY JRCHIEF COMPLIANCE OFFICER1256777

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

CABOT LODGE SECURITIES LLC

CRD#: 159712Jackson, WY

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