Richard A. Mercante
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 Mercante, who also goes by Rich Mercante, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 12 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2016 - April 4, 2018
CASTLEOAK SECURITIES, LP
March 17, 2014 - March 17, 2014
BGC FINANCIAL, L.P.
March 17, 2014 - January 5, 2016
MINT BROKERS
January 18, 2013 - October 24, 2013
BONDS.COM LLC
July 2, 2012 - December 13, 2012
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
May 3, 2010 - January 3, 2011
KNIGHT LIBERTAS LLC
August 12, 2008 - April 28, 2010
BEDROK SECURITIES LLC
February 13, 1996 - July 6, 2007
PINEBRIDGE SECURITIES LLC
January 3, 1991 - November 29, 1994
MORGAN STANLEY DW INC.
October 23, 1986 - February 18, 1987
SALOMON BROTHERS INC.
May 21, 1986 - November 14, 1986
CITIGROUP GLOBAL MARKETS 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
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| 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.
