Richard A. Gimigliano
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 Anthony Gimigliano, who also goes by Rich Anthony Gimigliano, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 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 4, 2016 - March 27, 2018
VIANT CAPITAL LLC
September 18, 2013 - September 6, 2016
MERRIMAN CAPITAL, INC.
March 21, 2011 - May 16, 2011
COINBASE SECURITIES, INC.
October 13, 2008 - September 19, 2013
VIANT CAPITAL LLC
May 31, 2007 - October 2, 2008
CRT CAPITAL GROUP LLC
August 4, 2004 - July 17, 2006
THINKEQUITY LLC
March 19, 2002 - June 28, 2004
GLEACHER & COMPANY SECURITIES, INC.
September 26, 2001 - February 1, 2002
HOTOVEC, POMERANZ & CO., LLC
January 22, 1999 - September 25, 2001
THOMAS WEISEL PARTNERS LLC
October 1, 1997 - January 1, 1999
BANC OF AMERICA SECURITIES LLC
April 28, 1995 - October 1, 1997
MONTGOMERY SECURITIES
April 1, 1992 - April 27, 1995
LEHMAN BROTHERS INC.
July 20, 1983 - November 7, 1991
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 11/7/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 11/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VIANT CAPITAL LLC
CRD#: 46948 / SEC#: , 8-51602
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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