Richard G. Drago
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 Gaspare Drago was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 2 firms and has passed the Series 63, SIE and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - January 21, 2020
TULLETT PREBON FINANCIAL SERVICES LLC
September 9, 1998 - January 5, 2015
W.A. CAPITAL MARKETS
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 55
Date: 1/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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