Richard M. Slamowitz
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 Mark Slamowitz was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 1 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
May 2, 2016 - October 8, 2024
THE LEADERS GROUP, INC.
September 4, 2009 - April 4, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 21, 2008 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 4, 2002 - April 7, 2008
OSAIC FS, INC.
April 9, 1997 - June 4, 2002
OWR EQUITY CORP.
December 14, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 14, 1990 - January 17, 1997
PRUCO SECURITIES, LLC.
July 13, 1984 - May 23, 1986
NEW ENGLAND SECURITIES
October 16, 1979 - July 9, 1984
NYLIFE SECURITIES LLC
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: 10/5/1979
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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