Richard Izzo
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 Izzo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 15 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2012 - March 30, 2012
STERLING CAPITAL DISTRIBUTORS, LLC
March 2, 2012 - March 30, 2012
MGI FUNDS DISTRIBUTORS, LLC
March 2, 2012 - March 30, 2012
FORESIDE GLOBAL SERVICES, LLC
March 2, 2012 - March 30, 2012
FAIRHOLME DISTRIBUTORS, LLC
March 2, 2012 - March 30, 2012
FORESIDE FUNDS DISTRIBUTORS LLC
February 15, 2012 - October 3, 2023
BNY MELLON CAPITAL MARKETS, LLC
October 7, 2011 - June 10, 2016
BNY MELLON SECURITIES CORPORATION
February 29, 2008 - October 3, 2023
PERSHING ADVISOR SOLUTIONS LLC
April 17, 2003 - October 3, 2023
PERSHING LLC
January 17, 2003 - April 11, 2003
CREDIT SUISSE SECURITIES (USA) LLC
May 6, 1996 - January 17, 2003
PERSHING LLC
October 20, 1995 - May 6, 1996
J.P. MORGAN SECURITIES LLC
July 31, 1993 - October 30, 1995
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
April 9, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 24, 1981 - March 22, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
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 52TO
Date: 7/18/2023
Municipal Securities Representative ExaminationCurrent Firm
STERLING CAPITAL DISTRIBUTORS, LLC
CRD#: 103934 / SEC#: , 8-52396
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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