Ricky A. Lubinsky
Professional summary
Ricky Allen Lubinsky was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ricky is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Ricky had worked at 10 firms, which includes BARRON CHASE SECURITIES INC., SECURITIES AMERICA INC., VANGUARD CAPITAL, ADVEST INC., KIDDER PEABODY & CO. INCORPORATED, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, E. F. HUTTON & COMPANY INC, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 1997 - May 23, 1997
BARRON CHASE SECURITIES, INC.
April 1, 1992 - December 6, 1996
SECURITIES AMERICA, INC.
August 2, 1990 - March 6, 1992
VANGUARD CAPITAL
September 12, 1988 - August 3, 1990
ADVEST, INC.
January 27, 1987 - September 2, 1988
KIDDER, PEABODY & CO. INCORPORATED
November 28, 1986 - February 4, 1987
CITIGROUP GLOBAL MARKETS INC.
December 10, 1984 - December 3, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 1984 - December 18, 1984
E. F. HUTTON & COMPANY INC
August 30, 1984 - October 8, 1984
UBS FINANCIAL SERVICES INC.
April 22, 1983 - September 12, 1984
LEHMAN BROTHERS INC.
December 21, 1982 - April 28, 1983
ADVEST, 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
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
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.
