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RW

Richard E. Waks

ANOS CAPITAL
NEW YORK, NY 10174
Some features on this profile are disabled
CRD#: 1496147
RW

Professional summary

Richard Eric Waks is a registered financial professional currently at ANOS CAPITAL, LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 10 and Series 9 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) - BD

Click below to view Richard Eric Waks's CRS (Customer Relationship Summary).

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

Current

October 21, 2024 - Present

ANOS CAPITAL, LLC

Office #1: 405 Lexington Avenue 9th Floor, New York, NY 10174
RIA
BD
CRD#: 284714
NEW YORK, NY
Past

November 30, 2017 - October 18, 2024

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
SAN MARCOS, CA
Past

January 21, 2011 - November 30, 2017

B. RILEY & CO., LLC

BD
CRD#: 40355
TEMECULA, CA
Past

March 23, 2007 - January 3, 2011

HEFLIN & CO., L.L.C.

BD
CRD#: 41170
EL SEGUNDO, CA
Past

February 14, 2003 - December 12, 2006

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
BEVERLY HILLS, CA
Past

May 1, 2001 - February 13, 2003

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 5, 2001 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

April 17, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 15, 1995 - April 20, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

July 19, 1991 - January 18, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

May 27, 1986 - June 5, 1991

SANFORD C. BERNSTEIN & CO., INC.

BD
CRD#: 1232
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/21/2024)
RR
Colorado
(10/21/2024)
RR
Connecticut
(10/21/2024)
RR
Massachusetts
(10/21/2024)
RR
Minnesota
(10/21/2024)
RR
New Jersey
(10/21/2024)
RR
New York
(10/21/2024)
RR
Pennsylvania
(10/21/2024)
RR
Texas
(10/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/6/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/24/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/22/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/12/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/1/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AC
ANOS CAPITAL, LLC
ABEL NOSER, LLC. | ANOS CAPITAL, LLC | ANOS CAPITAL, L.L.C. | ABEL/NOSER, L.L.C.

CRD#: 284714 / SEC#: , 8-69809

New York
Registered Investment Advisory firm - SEC (6/9/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
405 Lexington Avenue 9th Floor, New York, NY 10174
Mailing Address
405 Lexington Avenue 9th Floor, New York, NY 10174
Phone number
(646) 432-4100
Established
Delaware since 04/21/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
24

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ANOS HOLDINGS, LLCOWNER
DALLAL, JEFFREY HARONPRESIDENT/CHIEF OPERATING OFFICER2316096
DANIELE, EDWARD ROBERTCHIEF COMPLIANCE OFFICER/AML OFFICER1224878
EMMERICH, CLIFFORD GENNAROSENIOR MANAGING DIRECTOR HEAD OF SALES AND TRADING2412767
IANNUCCI, MICHAEL CHRISTOPHERIA TRANSITION MANAGEMENT4709972
PAPATSOS, JOHN NICKFINOP4416912
RIVELLI, DOUGLAS DUVALLCHIEF EXECUTIVE OFFICER2174199

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.

Company Information

ANOS CAPITAL, LLC

CRD#: 284714New York, NY 10174

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