Richard Aulicino
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 Aulicino was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2015 - March 7, 2025
DAWSON JAMES SECURITIES, INC.
February 3, 2014 - November 6, 2014
VIEWTRADE SECURITIES, INC.
February 23, 2011 - May 10, 2012
DIVINE CAPITAL MARKETS LLC
November 28, 2006 - April 1, 2009
DAWSON JAMES SECURITIES, INC.
March 31, 2006 - December 19, 2006
SANDGRAIN SECURITIES LLC
June 7, 2004 - April 6, 2006
GRANTA CAPITAL GROUP LLC
December 18, 2003 - June 10, 2004
NATIONAL SECURITIES CORPORATION
November 5, 2001 - January 29, 2002
BARINGTON CAPITAL GROUP, L.P.
February 20, 2001 - November 1, 2001
NEWBRIDGE SECURITIES CORPORATION
August 25, 1999 - December 22, 1999
LABRANCHE FINANCIAL SERVICES, LLC
May 14, 1999 - August 11, 1999
THE THORNWATER COMPANY, L.P.
April 2, 1996 - December 13, 1996
THE THORNWATER COMPANY, L.P.
February 5, 1996 - March 28, 1996
SHAMUS GROUP, INC.
June 19, 1992 - January 23, 1996
BARINGTON CAPITAL GROUP, L.P.
January 21, 1991 - June 18, 1992
COMMONWEALTH ASSOCIATES
July 24, 1986 - February 1, 1991
D. H. BLAIR & CO., INC.
January 22, 1985 - July 29, 1986
LADENBURG THALMANN & CO. INC.
July 23, 1984 - January 7, 1985
MICHELIN AND COMPANY, INC.
July 16, 1984 - July 23, 1984
MICHELIN AND COMPANY, INC.
February 27, 1984 - July 23, 1984
THE STUART-JAMES COMPANY, INCORPORATED
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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