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Richard Anthony Russo

CRD# 1208819·Registered 1983 - 2003
Previously Registered: Being a previously registered professional could mean that Richard 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.

Professional Summary

Richard Anthony Russo was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1983 - 2003. Richard had worked at 3 firms and has passed the Series 63 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

JOHN N. SEIP & CO., INC.·CRD# 35501
BD
New York, NY
November 14, 2002 - June 17, 2003
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Staten Island, NY
November 12, 2002 - July 14, 2006
RUSSO SECURITIES INC.·CRD# 14425
BD
Staten Island, NY
December 5, 1983 - January 21, 2003

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Current Firm

JN
JOHN N. SEIP & CO., INC.

JOHN N. SEIP & CO., INC. | SEIP, JOHN NICHOLAS

CRD#: 35501 / SEC#: 8-46706
BD
Terminated by SEC on 01/15/2011

Contact Information

Established

New York since 03/03/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SEIP, JOHN NICHOLASSHAREHOLDER2429138
STRIEBEL, PAULCFO/COO—
TIMONY, PETER GERARDCEO/CHIEF COMPLIANCE OFFICER/PRESIDENT/TREASURER/DIRECTOR3023008

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2003About the Series 63 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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