Richard B. Petrocelli
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 B Petrocelli was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 7 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2003 - May 4, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 1, 2003 - October 7, 2003
WALNUT STREET SECURITIES, INC.
December 17, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
December 8, 1997 - December 15, 1999
TOWER SQUARE SECURITIES, INC.
April 7, 1997 - December 13, 1997
NATHAN & LEWIS SECURITIES, INC.
January 2, 1997 - April 9, 1997
JARON EQUITIES CORP.
March 8, 1996 - December 31, 1996
TOWER SQUARE SECURITIES, INC.
August 15, 1994 - December 31, 1995
ADVANTAGE CAPITAL CORPORATION
November 19, 1990 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
June 19, 1983 - September 5, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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