Richard J. Morano
Professional summary
Richard John Morano is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard John Morano's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2023 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169February 6, 2023 - May 4, 2023
SANTANDER US CAPITAL MARKETS LLC
June 28, 2022 - February 6, 2023
SANTANDER INVESTMENT SECURITIES INC.
May 15, 2019 - June 28, 2022
SANTANDER US CAPITAL MARKETS LLC
January 23, 2019 - June 3, 2019
HAITONG INTERNATIONAL SECURITIES (USA) INC.
December 19, 2016 - June 3, 2019
HAITONG SECURITIES USA LLC
February 28, 2012 - September 17, 2014
JEFFERIES LLC
February 23, 2009 - January 30, 2012
NATWEST MARKETS SECURITIES INC.
June 8, 2000 - February 24, 2009
ABN AMRO INCORPORATED
March 22, 1994 - May 11, 2000
SCHRODER & 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
(5/4/2023)
(5/4/2023)
Exams
FINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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