Richard N. Enzerillo
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 Nicholas Enzerillo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 6 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 1992 - December 14, 1993
INTERCAPITAL GOVERNMENT SECURITIES INC.
February 29, 1992 - September 9, 1992
FUNDAMENTAL CORPORATE BOND BROKERS
February 29, 1992 - September 9, 1992
FUNDAMENTAL BROKERS
March 13, 1990 - August 2, 1990
FUNDAMENTAL BROKERS
February 21, 1990 - April 26, 1990
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
September 14, 1987 - March 13, 1989
ICAP SECURITIES USA LLC
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
INTERCAPITAL GOVERNMENT SECURITIES INC.
CRD#: 19710 / SEC#: , 8-38023
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
