Richard L. Andriano
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 Lawrence Andriano was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2003 - January 16, 2018
GELBER SECURITIES, LLC
April 5, 2000 - August 20, 2003
DAIWA CAPITAL MARKETS AMERICA INC.
September 22, 1998 - March 3, 2000
LANGDON P. COOK GOVERNMENT SECURITIES, LLC
February 10, 1995 - June 9, 1998
EASTBRIDGE CAPITAL INC.
May 31, 1994 - December 21, 1994
GEORGE K. BAUM & COMPANY
March 26, 1990 - May 31, 1994
GKB, INC.
February 25, 1985 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
November 25, 1981 - January 16, 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 8
Date: 5/14/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GELBER SECURITIES, LLC
CRD#: 18367 / SEC#: , 8-36696
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GELBER GROUP, LLC | DELAWARE LIMITED LIABILITY CORPORATION/MANAGING MEMBER | |
| COFFEY, PATRICK JOSEPH | CHIEF OPERATING OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL/PRINCIPAL OPERATIONS OFFICER | 7262848 |
| DUNSKY, LISA ANN | CHIEF LEGAL OFFICER | |
| GELBER, BRIAN ROGER | CHIEF EXECUTIVE OFFICER | 839297 |
| HAZE, DANIEL M | CHIEF COMPLIANCE OFFICER | 7393008 |
| HILBURGER, JAMES ROBERT | CHIEF FINANCIAL OFFICER/ PRINCIPAL FINANCIAL OFFICER | 4570079 |
| LONTEEN, CHRISTIAN MATTHEW | MANAGING DIRECTOR OF TRADING | 5793881 |
| MAHLER, MATTHEW CARL | PRESIDENT/PRINCIPAL OPTIONS OFFICER | 4987267 |
Disclosures
| Regulatory Event | 9 |
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.
