Richard A. Digilio
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 Anthony Digilio, who also goes by Rick Digilio, Richard Anthony Digilo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 8 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
May 13, 2016 - March 7, 2019
BNP PARIBAS SECURITIES CORP.
March 17, 2015 - March 30, 2016
MORGAN STANLEY
February 11, 2015 - March 30, 2016
MORGAN STANLEY
December 2, 2010 - November 13, 2014
CITIGROUP GLOBAL MARKETS INC.
April 23, 2007 - June 19, 2009
CHASE INVESTMENT SERVICES CORP.
October 12, 2005 - March 23, 2007
J.P. MORGAN SECURITIES INC.
April 14, 2004 - June 28, 2004
EKN FINANCIAL SERVICES INC.
February 22, 2001 - October 3, 2003
WESTMINSTER SECURITIES CORPORATION
January 20, 1999 - December 1, 2000
INVESTOR'S ADVOCATE, LLC
February 22, 1997 - March 4, 1998
OSCAR GRUSS & SON INCORPORATED
March 28, 1996 - February 25, 1997
LT LAWRENCE & CO., INC.
January 11, 1996 - March 7, 1996
CIBC WORLD MARKETS CORP.
August 31, 1992 - January 16, 1996
LADENBURG THALMANN & CO. INC.
April 6, 1992 - September 3, 1992
MARVIN TERRY AND COMPANY INC
March 23, 1989 - December 8, 1989
LEHMAN BROTHERS INC.
August 20, 1985 - April 3, 1989
BLINDER, ROBINSON & CO., 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: 10/24/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 1/3/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BNP PARIBAS SECURITIES CORP.
CRD#: 15794 / SEC#: , 8-32682
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNP PARIBAS US WHOLESALE HOLDINGS, CORP | OWNER | |
| BONNAUD, JOE-KARIM | CEO | 7551817 |
| CASTILLO, SUSANNA BEATRIZ | BOARD MEMBER & CHIEF CONDUCT AND CONTROL OFFICER | 4992387 |
| FARRELL, MICHAEL F | CHIEF FINANCIAL OFFICER, FINOP | 2562352 |
| GAO, NICHOLAS N | GENERAL COUNSEL | 5140547 |
| HALPHEN, EMMANUEL | CHIEF OPERATIONS OFFICER | 5019981 |
| HAWLEY, ROBERT WILLIAM JR | CHAIRMAN | 828024 |
| HORTOPAN, NICOLAE SERBAN | BOARD DIRECTOR | 4789377 |
| LING, PETER | BOARD DIRECTOR | 2714915 |
| NIEBLING, JOHN C | CHIEF COMPLIANCE OFFICER | 4736313 |
| PLACIDO, JOSE | BOARD DIRECTOR | 7081415 |
| RAO, PHIROZE S | BOARD DIRECTOR | 7808745 |
| XHAYET, STEPHANE PATRICK | CHIEF OPERATING OFFICER | 5955712 |
Disclosures
| Regulatory Event | 99 |
| Arbitration | 1 |
| Bond | 1 |
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.
