Richard R. Falbo
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 Robert Falbo JR, who also goes by Richard R Falbo Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 5 firms and has passed the Series 63, 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
July 10, 1992 - September 1, 1993
DICKINSON & CO.
February 24, 1988 - January 22, 1990
MORGAN STANLEY DW INC.
April 8, 1985 - February 3, 1988
BLUNT ELLIS & LOEWI INCORPORATED
August 11, 1983 - February 22, 1985
E. F. HUTTON & COMPANY INC
April 5, 1982 - August 23, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH 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: 4/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DICKINSON & CO.
CRD#: 689 / SEC#: , 8-7503
Contact information
Documents
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.
