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JR

Joseph A. Ricci

Some features on this profile are disabled
CRD#: 1446665
JR

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.

Joseph Anthony Ricci was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 8 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 19, 2000 - May 22, 2001

THE THORNWATER COMPANY, L.P.

BD
CRD#: 36195
NEW YORK, NY
Past

November 9, 1999 - September 8, 2000

COLEMAN & COMPANY SECURITIES, INC.

BD
CRD#: 1486
NEW YORK, NY
Past

November 19, 1998 - September 21, 1999

COLEMAN & COMPANY SECURITIES, INC.

BD
CRD#: 1486
NEW YORK, NY
Past

April 1, 1997 - October 6, 1998

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

February 20, 1997 - March 10, 1997

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

October 16, 1995 - October 23, 1996

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

May 26, 1995 - October 2, 1995

COLIN WINTHROP & CO., INC.

BD
CRD#: 26012
JERICHO, NY
Past

May 3, 1995 - June 2, 1995

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

March 16, 1994 - July 11, 1995

HANOVER, STERLING & COMPANY LTD.

BD
CRD#: 15491
NEW YORK, NY
Past

October 6, 1993 - February 15, 1994

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/10/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2001
General Securities Representative Examination

Current Firm

TT
THE THORNWATER COMPANY, L.P.
THE THORNWATER COMPANY, L.P.

CRD#: 36195 / SEC#: , 8-47178

BD
Terminated by SEC on 04/25/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/01/1993
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE THORNWATER ADVISORY GROUPGENERAL PARTNER
BOLOGNA, STEPHEN JOHNTRADING PRINCIPAL2571478
DUFFY, FRANCIS THOMASCHIEF FINANCIAL OFFICER500206
FERRARI, BARRY MORTONCOMPLIANCE DIRECTOR, ROP, CROP, SROP848024
GRABOWSKI, ROBERT JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1639890

Disclosures

Regulatory Event16
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

THE THORNWATER COMPANY, L.P.

CRD#: 36195

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