Richard A. Sampson
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 Albert Sampson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 15, Series 5, Series 3, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2012 - July 16, 2019
RS CORE CAPITAL LLC
April 22, 2010 - July 6, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
August 28, 2003 - May 16, 2006
BNY MELLON SECURITIES CORPORATION
August 26, 2003 - May 16, 2006
BNY MELLON SECURITIES CORPORATION
July 13, 2000 - May 17, 2006
FOUNDERS ASSET MANAGEMENT LLC
June 22, 2000 - August 29, 2003
FOUNDERS ASSET MANAGEMENT LLC
May 2, 1994 - February 12, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - May 9, 1994
CITIGROUP GLOBAL MARKETS INC.
January 20, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
July 18, 1988 - January 29, 1992
TUCKER ANTHONY INCORPORATED
October 23, 1980 - June 15, 1988
PRESCOTT, BALL & TURBEN, 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: 12/27/1994
Foreign Currency Options ExaminationSeries 5
Date: 12/27/1994
Interest Rate Options ExaminationSeries 8
Date: 5/19/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RS CORE CAPITAL LLC
CRD#: 165078 / SEC#:
Contact information
Red Flags
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