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Detailed Report
RICHARD C DWORZAK
CRD#: 3175542
IA
Investment Adviser
B
Broker
BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 125 HALF MILE ROAD, SUITE 104
RED BANK, NJ 07701
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2011 - 2017 (5 years)2 FIRMS2017 - Present (8 years)BGEORGE MCKELVEY CO., INC. (CRD# 2733)1999 - 2011 (12 years)IAGEORGE MCKELVEY CO., INC. (CRD# 2733)2008 - 2011 (3 years)
License(s)

State Registrations

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Arizona 3/24/2017
IA
New Jersey 3/29/2017
B
District of Columbia 2/6/2023
B
New York 3/18/2020
B
Florida 3/24/2017
B
North Carolina 7/28/2021
B
Massachusetts 3/24/2017
B
South Carolina 3/24/2017
B
New Jersey 3/24/2017
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Virginia 3/24/2017

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED (CRD#:146936)
125 HALF MILE ROAD, SUITE 104, RED BANK, NJ 07701
Registered with this firm since 3/24/2017
B
BENJAMIN F. EDWARDS & COMPANY, INC. (CRD#:146936)
125 HALF MILE ROAD, SUITE 104, RED BANK, NJ 07701
Registered with this firm since 3/24/2017
Previous Registration(s)
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IA
 10/18/2011 - 03/27/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TOMS RIVER, NJ
B
 08/10/2011 - 03/27/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TOMS RIVER, NJ
IA
 05/08/2008 - 06/30/2011 GEORGE MCKELVEY CO., INC. (CRD#:2733) SEA GIRT, NJ
B
 03/15/1999 - 06/30/2011 GEORGE MCKELVEY CO., INC. (CRD#:2733) SEA GIRT, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.