Richard C. Bellah
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 Craig Bellah, who also goes by R Craig Bellah, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 10 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 1991 - March 29, 1993
LEHMAN BROTHERS INC.
April 24, 1989 - January 8, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 21, 1987 - April 13, 1989
CITIGROUP GLOBAL MARKETS INC.
August 25, 1986 - June 19, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
January 14, 1985 - September 10, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1983 - June 18, 1983
A. G. EDWARDS & SONS, INC.
November 28, 1981 - December 2, 1982
LPL FINANCIAL LLC
January 19, 1980 - November 16, 1981
LEHMAN BROTHERS INC.
February 2, 1978 - November 22, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
February 2, 1978 - November 22, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 1978 - November 22, 1979
IDS LIFE INSURANCE COMPANY
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 1
Date: 1/28/1978
Registered Representative ExaminationCurrent Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
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.
