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Richard Horatio Lemmon

Port Securities, Inc.

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About Richard Horatio Lemmon

Richard Lemmon is a financial professional with over 30 years of experience in the industry. Richard currently works with Port Securities, Inc. in Newport Beach, CA. Richard holds a variety of licenses and certifications, including Series 7, 24, 27, 52TO, 53, 99TO, and SIE. Richard is registered to provide financial advice in 14 states, including Arizona, California, Connecticut, Florida, Georgia, Illinois, Maryland, Missouri, Nevada, New Jersey, New Mexico, New York, Oregon, and Texas.

Firm Information

Richard Lemmon is currently registered with Port Securities, Inc.. Port Securities, Inc. is a corporation formed on July 9, 1997. The firm is approved and registered with the SEC and in 14 states, including Arizona, California, Connecticut, Florida, Georgia, Illinois, Maryland, Missouri, Nevada, New Jersey, New Mexico, New York, Oregon, and Texas.

Not reported

Assets Under Management

Not reported

Total Clients

5

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Richard Lemmon’s Registration & Firm History

CA

06/03/1998 - Present

Port Securities, Inc. (NEWPORT BEACH CA)

NY

02/16/2005 - 09/01/2005

GRANT BETTINGEN, INC. (NEW YORK NY)

CA

09/02/1997 - 08/10/1998

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

NY

01/05/1995 - 11/05/1997

GRANT BETTINGEN, INC. (NEW YORK NY)

NY

08/17/1990 - 01/11/1995

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

CA

03/21/1989 - 04/30/1991

EMPIRE SECURITIES CORPORATION OF SOUTHERN CALIFORNIA (EL SEGUNDO CA)

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Licenses & Designations

BC

Issued 10/09/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 03/09/1998

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/26/1998

Series 4 - Registered Options Principal Examination

BC

Issued 06/03/1997

Series 27 - Financial and Operations Principal Examination

BC

Issued 08/27/1996

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/18/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Horatio Lemmon. Review regulatory record here.
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