Donald P. Rappaport
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.
Donald Paul Rappaport was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 17 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 16, Series 7, Series 9, Series 10, Series 14, Series 8, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2022 - May 5, 2025
INTESA SANPAOLO IMI SECURITIES CORP.
June 20, 2015 - April 6, 2022
SBERBANK CIB USA, INC.
August 7, 2012 - January 7, 2014
NATIXIS SECURITIES AMERICAS LLC
February 8, 2011 - July 25, 2012
LLOYDS SECURITIES
March 20, 2009 - May 12, 2010
NATWEST MARKETS SECURITIES INC.
May 14, 2008 - February 10, 2009
RBS SECURITIES CORPORATION
September 3, 2002 - November 26, 2003
FIVE ARROWS CAPITAL MARKETS LLC
December 21, 2001 - May 15, 2008
ABN AMRO INCORPORATED
June 29, 1998 - May 8, 2000
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 14, 1996 - September 2, 1997
SBC WARBURG, INC.
September 14, 1995 - June 11, 1996
SCOTIA CAPITAL (USA) INC.
April 16, 1993 - September 11, 1995
PERSHING LLC
December 2, 1987 - April 21, 1993
LEHMAN SPECIAL SECURITIES INC.
December 2, 1987 - April 21, 1993
LEHMAN GOVERNMENT SECURITIES INC.
December 2, 1987 - April 21, 1993
LEHMAN BROTHERS INC.
August 29, 1985 - November 20, 1987
CHASE 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 4/18/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTESA SANPAOLO IMI SECURITIES CORP.
CRD#: 19418 / SEC#: , 8-37444
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IMI CAPITAL MARKETS USA CORPORATION | SOLE SHAREHOLDER | |
| AMOROSO, PAOLO GLAUCO | CORPORATE SECRETARY | 7870609 |
| BURIOLI, NOVELLA | DIRECTOR | 7874990 |
| DIBELLA, VINCENT | CHIEF FINANCIAL OFFICER/ TREASURER | 2587408 |
| LUCCHINI, STEFANO | DIRECTOR | 7889772 |
| MARRAS, STEFANO | CEO/DIRECTOR | 7322813 |
| PARISI, RICHARD ANTHONY | CHIEF OPERATIONS OFFICER | 4668388 |
| RUIZ, JEFFREY A | CHIEF COMPLIANCE OFFICER | 2562825 |
| SEGNI, LAURA | DIRECTOR | 7890924 |
Disclosures
| Regulatory Event | 11 |
| Criminal | 1 |
| Civil Event | 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.
