Richard P. Blume
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 Paul Blume, who also goes by Dick Blume, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2002 - December 31, 2008
THE O.N. EQUITY SALES COMPANY
March 25, 1992 - December 31, 2000
WOODBURY FINANCIAL SERVICES, INC.
April 10, 1989 - January 31, 1992
CETERA WEALTH SERVICES, LLC
July 1, 1986 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
December 18, 1985 - July 22, 1986
MML INVESTORS SERVICES, LLC
July 20, 1982 - April 9, 1985
WS GRIFFITH SECURITIES, INC.
March 5, 1981 - April 15, 1985
HOME LIFE INSURANCE COMPANY
June 7, 1979 - August 10, 1980
SUN LIFE FINANCIAL DISTRIBUTORS, 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
Series 1
Date: 6/1/1979
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
