Richard J. Kapsch
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 Joseph Kapsch SR, who also goes by Richard Joseph Kapsch, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 9 firms and has passed the Series 63, Series 87, Series 15, Series 7, Series 27, Series 4, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 1997 - November 13, 2006
LEADER INVESTMENTS, INC.
May 1, 1996 - January 1, 1998
SHAMROCK PARTNERS, LTD
November 15, 1993 - May 6, 1996
STEIN, SHORE SECURITIES, INC.
September 17, 1993 - November 9, 1993
STELLARIS SECURITIES, INC.
February 23, 1993 - August 23, 1993
DAIWA CAPITAL MARKETS AMERICA INC.
August 7, 1991 - November 26, 1991
REFCO SECURITIES, LLC
June 5, 1989 - November 16, 1989
PRUDENTIAL EQUITY GROUP, LLC
November 16, 1978 - March 24, 1988
E. F. HUTTON & COMPANY INC
May 26, 1977 - August 11, 1978
SHEARSON HAYDEN STONE 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 15
Date: 11/30/1982
Foreign Currency Options ExaminationSeries 40
Date: 2/15/1978
Registered Principal ExaminationCurrent Firm
LEADER INVESTMENTS, INC.
CRD#: 42927 / SEC#: , 8-50102
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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