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RV

Richard A. Vinchesi

STOCK SECURITIES LLC
Stamford, CT 06901-3435
Some features on this profile are disabled
CRD#: 1355603
RV

Professional summary


Richard Alexander Vinchesi JR, who also goes by Richard A VInchesi, is a registered financial professional currently at STOCK SECURITIES LLC located in Stamford, Connecticut.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Richard A Vinchesi

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.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Richard Alexander Vinchesi JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

March 29, 2011 - Present

STOCK SECURITIES LLC

Office #1: 201 Tresser Boulevard Suite 345, Stamford, CT 06901-3435
BD
CRD#: 32244
Stamford, CT
Past

October 31, 2005 - January 13, 2010

VIANT CAPITAL LLC

BD
CRD#: 46948
SAN FRANCISCO, CA
Past

September 25, 1991 - September 30, 1996

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(12/13/2021)
RR
Illinois
(3/6/2024)
RR
Massachusetts
(8/13/2024)
RR
New Mexico
(6/10/2024)
RR
New York
(2/5/2024)

Exams


State Security Law Exam
RR
Series 63
Date: 2/3/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


SS
STOCK SECURITIES LLC
STOCK SECURITIES LLC | SWORD SECURITIES LLC | SWORD SECURITIES CORPORATION

CRD#: 32244 / SEC#: , 8-45650

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information


Main Address
201 Tresser Boulevard Suite 345, Stamford, CT 06901-3435
Mailing Address
886 Patterson Avenue, New York, NY 10306
Phone number
(203) 595-4546
Established
Delaware since 07/31/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
FFP AFFILIATES IV, LLCPARENT COMPANY
BARENBOIM, LEONARDCHIEF COMPLIANCE OFFICER1523181
CAMISA, KATHLEENFINOP, CHIEF FINANCIAL OFFICER3239619
STOCK, KEITHCHIEF EXECUTIVE OFFICER6141019

Disclosures


Regulatory Event2

Red Flags


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.

Company Information


STOCK SECURITIES LLC

CRD#: 32244Stamford, CT 06901-3435

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