Richard I. Fuchs
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 Ira Fuchs, who also goes by Richard I Fuchs, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 10 firms and has passed the Series 63, SIE, 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
April 24, 2018 - August 16, 2022
MEMPHIS CAPITAL
May 20, 2004 - January 9, 2018
SANDLER, O'NEILL & PARTNERS, L.P.
April 8, 1998 - May 18, 2004
ADVEST, INC.
February 6, 1997 - July 17, 1998
DUKE & CO., INC.
July 16, 1996 - February 7, 1997
NATIONAL CLEARING CORP.
February 16, 1996 - July 12, 1996
INTERCAPITAL SECURITIES, INC.
November 9, 1994 - June 28, 1995
SAPERSTON FINANCIAL INC.
December 6, 1993 - November 28, 1994
ALEX. BROWN & SONS INCORPORATED
November 2, 1989 - December 10, 1993
MMAR GROUP, INC.
July 26, 1984 - December 31, 1989
ROBERT THOMAS 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
Current Firm
MEMPHIS CAPITAL
CRD#: 8564 / SEC#: , 8-34927
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANOVER SECURITIES, LLC | OWNER | |
| MARY WELLS QTIP TRUST / MARY LOUISE NAKAE (WELLS) TRUSTEE | OWNER | |
| GOODWIN, CASEY DOUGLAS | PRESIDENT/CEO | 6808410 |
| HANOVER, JOHN DAVID | GENERAL COUNSEL | 6011724 |
| NAKAE, MARY LOUISE | OWNER/TRUSTEE | 1923430 |
| PARATORE, JACK ANTHONY | CCO | 356248 |
| RODRIGUEZ, AARON NETZAHUALCOYOTL | FINOP & CFO | 5421965 |
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.
