Richard D. Maher
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 Donald Maher JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2005 - May 2, 2022
ARBOR RESEARCH & TRADING, LLC
November 26, 1999 - December 16, 2004
DEUTSCHE BANK SECURITIES INC.
September 28, 1998 - December 15, 1999
PERSHING LLC
January 25, 1994 - October 19, 1999
UBS SECURITIES LLC
September 12, 1990 - April 18, 1994
UBS FINANCIAL SERVICES INC.
July 25, 1987 - April 7, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
December 12, 1983 - April 16, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
April 21, 1977 - August 14, 1977
STUART BROTHERS
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
ARBOR RESEARCH & TRADING, LLC
CRD#: 21313 / SEC#: , 8-38818
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARBOR RESEARCH HOLDINGS, LLC | OWNER | |
| HANDLER, FRED DAVID JR | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1278354 |
| LUSTIG, DANIEL JAY | EXECUTIVE VICE PRESIDENT | 1496662 |
| MCELWREATH, EDWARD THOMAS | EXECUTIVE VICE PRESIDENT | 1111324 |
| MOISE, MICHAEL PAUL | PRESIDENT, FINOP & DIRECTOR | 5910037 |
| MOISE, MICHAEL PAUL | CHIEF COMPLIANCE OFFICER | 5910037 |
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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