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MR

Michael G. Ricciardi

CASTLE HILL CAPITAL PARTNERS
New York, NY 10017
Some features on this profile are disabled
CRD#: 1062522
MR

Professional summary

Michael Gerard Ricciardi is a registered financial professional currently at CASTLE HILL CAPITAL PARTNERS, INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 5, Series 3, Series 14, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Gerard Ricciardi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 1, 2023 - Present

CASTLE HILL CAPITAL PARTNERS, INC.

Office #1: 216 East 45th Street, Suite 1301, New York, NY 10017
BD
CRD#: 44131
New York, NY
Past

September 2, 2010 - October 31, 2023

MERCURY CAPITAL ADVISORS, LLC

BD
CRD#: 152338
NEW YORK, NY
Past

October 6, 2009 - December 7, 2010

NIGHTHAWK PARTNERS INC.

BD
CRD#: 44134
NEW YORK, NY
Past

February 5, 2004 - October 6, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 29, 2002 - February 18, 2004

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

March 15, 2002 - February 18, 2004

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

March 27, 1997 - November 29, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 31, 1994 - February 10, 1997

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

August 21, 1991 - May 9, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

November 10, 1983 - May 9, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

August 24, 1982 - August 26, 1983

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(11/1/2023)
RR
New York
(11/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 11/24/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 3
Date: 11/18/1982
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/1/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/26/1992
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

CH
CASTLE HILL CAPITAL PARTNERS, INC.
BOUCHEY & ASSOCIATES, INC. | CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131 / SEC#: , 8-50550

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
216 East 45th Street, Suite 1301, New York, NY 10017
Mailing Address
216 East 45th Street, Suite 1301, New York, NY 10017
Phone number
(212) 784-6104
Established
New York since 09/05/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAUNDERS, ANDREW O'BRIENPRESIDENT5690785
WEBSTER, GEOFFREY LEHMANPRINCIPAL OPERATING OFFICER, PRINCIPAL FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER2561071

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.

Company Information

CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131New York, NY 10017

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