Richard A. Lefauve
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 Allen Lefauve, who also goes by Richard Allen Lafauve, Richard A Lefauve, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 11 firms and has passed the Series 66, Series 63, Series 31, Series 7, Series 10, Series 9 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
June 8, 2016 - March 21, 2017
BENNETT AND COMPANY FINANCIAL SOLUTIONS, LLC
June 1, 2009 - August 5, 2014
MORGAN STANLEY
June 1, 2009 - August 5, 2014
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
October 4, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
May 21, 2001 - September 5, 2002
SECURITIES AMERICA, INC.
July 21, 2000 - April 24, 2001
IDS LIFE INSURANCE COMPANY
July 21, 2000 - April 24, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
June 27, 1995 - August 3, 1995
SECURITIES AMERICA, INC.
May 13, 1991 - June 9, 1995
H.J. MEYERS & CO., INC.
January 16, 1990 - March 29, 1990
BISON SECURITIES, INCORPORATED
October 27, 1986 - September 27, 1989
H.J. MEYERS & CO., INC.
June 5, 1986 - October 3, 1986
CORNWALL SECURITIES, INC.
June 1, 1977 - May 3, 1984
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BENNETT AND COMPANY FINANCIAL SOLUTIONS, LLC
CRD#: 165556 / SEC#:
Contact information
Red Flags
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