Individual Firm
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RICHARD SCOTT LINDEN
CRD#: 4735031
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 410 MOTOR PARKWAY
2ND FLOOR
HAUPPAUGE, NY 11788
2ND FLOOR
HAUPPAUGE, NY 11788
View By:
11/26/2024
Regulatory
Final
3/25/2016
Customer Dispute
Denied
State Registrations
B
California 8/20/2020
B
New York 3/12/2018
B
Colorado 3/19/2018
IA
New York 6/22/2021
B
Connecticut 3/12/2018
B
Pennsylvania 3/11/2018
B
Georgia 8/11/2020
B
South Carolina 10/30/2024
B
New Jersey 3/13/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/22/2021
B
Registered with this firm since 3/9/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/14/2018 - 02/27/2018 | MELVILLE, NY | |
B | 04/07/2017 - 02/14/2018 | HAUPPAUGE, NY | |
B | 06/12/2015 - 04/10/2017 | Jericho, NY | |
B | 09/08/2014 - 06/16/2015 | EAST NORWICH, NY | |
B | 12/17/2010 - 08/20/2014 | HAUPPAUGE, NY | |
IA | 08/18/2006 - 12/20/2010 | MELVILLE, NY | |
B | 08/02/2006 - 12/20/2010 | MELVILLE, NY | |
IA | 03/04/2005 - 07/25/2006 | GARDEN CITY, NY | |
B | 02/03/2005 - 07/25/2006 | GARDEN CITY, NY | |
B | 12/11/2003 - 06/01/2004 | CEDARHURST, NY |
GARDEN CITY, NY
02/03/2005 - 07/25/2006
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.