Rick C. Riffer
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.
Rick Charles Riffer, who also goes by Rick Charles Riff, Everett Riffer, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1986. Rick had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 55 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
January 11, 2019 - April 19, 2021
BRIGHT TRADING, LLC
May 17, 2016 - January 17, 2017
J.W. COLE FINANCIAL, INC.
June 9, 2000 - August 6, 2001
MELVIN SECURITIES, L.L.C.
May 18, 1999 - May 30, 2000
MESIROW FINANCIAL, INC.
May 8, 1999 - May 14, 1999
WELLS FARGO CLEARING SERVICES, LLC
April 9, 1999 - May 4, 1999
HARRIS INVESTORLINE
January 22, 1999 - March 19, 1999
SCHONFELD SECURITIES, LLC
February 9, 1998 - September 4, 1998
HUDSON SECURITIES,INC.
December 19, 1995 - February 17, 1998
WELLS FARGO CLEARING SERVICES, LLC
July 20, 1995 - December 4, 1995
HARRIS INVESTORLINE
July 5, 1995 - July 20, 1995
HARRIS INVESTORS DIRECT, INC.
March 22, 1995 - July 8, 1995
TRADETECH SECURITIES L.P.
November 17, 1994 - February 14, 1995
REGAL SECURITIES, INC.
April 10, 1986 - November 10, 1994
HARRIS INVESTORLINE
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: 12/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
BRIGHT TRADING, LLC
CRD#: 34702 / SEC#: , 8-44990
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHT INVESTMENTS, LLC | MANAGING MEMBER | |
| ARLINSKY, KOSTA | TRADER | 5510518 |
| ARLINSKY, STEVE | TRADER | 5510563 |
| JONES, KEN ANDO | TRADER | 5512985 |
| SORGIC, SINISA | TRADER | 5513001 |
| ANDERSON, DIANA ELIZABETH | COMPLIANCE DIRECTOR/ CHIEF COMPLIANCE OFFICER | 4894089 |
| BRIGHT, ROBERT ALVIN | CEO, CFO | 1148394 |
| CHAN, STEPHEN KEI ON | TRADER | 5571223 |
| FRIESEN, ROBIN DALE | PRESIDENT/CHIEF OPERATING OFFICER | 5518030 |
| ROSS, CHRISTINE ANGEL | CFO, FINOP | 5512412 |
| SHILLETTO, ANDREW E MR. | TRADER | 4793136 |
| WALENTINY, CARLO ANNE JOSEPH | TRADER | 5518113 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
