Richard M. Nitto
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 Michael Nitto was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2000 - October 31, 2001
HUDSON SECURITIES,INC.
October 6, 2000 - October 13, 2000
PHILLIP LOUIS TRADING, INC.
August 6, 1997 - October 4, 2000
HUDSON SECURITIES,INC.
April 30, 1996 - August 14, 1996
OSCAR GRUSS & SON INCORPORATED
February 13, 1996 - May 29, 1997
WILLIAM SCOTT & CO. L.L.C.
March 11, 1992 - November 20, 1995
HUDSON SECURITIES,INC.
January 2, 1992 - February 19, 1992
BERKELEY SECURITIES CORPORATION
December 23, 1986 - February 11, 1988
FIRST MONTAUK SECURITIES CORP.
November 21, 1984 - January 2, 1987
HOMESTEAD SECURITIES, 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
Series 55
Date: 2/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
HUDSON SECURITIES,INC.
CRD#: 10467 / SEC#: , 8-30639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RODMAN RENSHAW CAPITAL GROUP, INC. | HOLDING COMPANY | |
| HECHLER, RANDY JAY | CCO, DIRECTOR OF COMPLIANCE | 2292597 |
Disclosures
| Regulatory Event | 26 |
Red Flags
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