Richard J. Fusari
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 John Fusari, who also goes by Rick Fusari, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1982. Richard had worked at 19 firms and has passed the Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2011 - January 4, 2013
ALLIED BEACON PARTNERS, INC.
August 3, 2010 - February 11, 2011
QA3 FINANCIAL LLC
June 16, 2010 - February 11, 2011
QA3 FINANCIAL CORP.
May 30, 2008 - February 19, 2010
FIRST ALLIED SECURITIES, INC.
January 8, 2007 - March 12, 2010
FIRST ALLIED ADVISORY SERVICES, INC.
May 15, 1998 - January 1, 2007
FFP ADVISORY SERVICES INC
November 14, 1997 - May 30, 2008
FFP SECURITIES, INC.
May 22, 1996 - November 19, 1997
BIRCHTREE FINANCIAL SERVICES LLC
June 30, 1993 - March 4, 1996
OSAIC WEALTH, INC.
March 30, 1992 - February 18, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 5, 1990 - October 25, 1991
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 4, 1987 - March 3, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 4, 1987 - March 3, 1990
EQUITABLE ADVISORS, LLC
January 29, 1987 - May 28, 1987
MONY SECURITIES CORPORATION
December 2, 1985 - December 8, 1986
1717 CAPITAL MANAGEMENT COMPANY
November 5, 1984 - January 14, 1986
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 5, 1984 - January 14, 1986
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 5, 1984 - January 14, 1986
OSAIC FA, INC.
April 30, 1982 - August 22, 1984
LINCOLN FINANCIAL DISTRIBUTORS, 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
Current Firm
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
