Richard C. Naso
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 Carl Naso was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 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
May 17, 2016 - September 1, 2020
CELADON FINANCIAL GROUP LLC
July 18, 2014 - March 11, 2016
AEGIS CAPITAL CORP.
October 23, 2013 - July 25, 2014
DU PASQUIER & CO., INC.
August 20, 2013 - September 19, 2013
CLANCY FINANCIAL SERVICES, INC.
September 14, 2007 - September 4, 2012
FBN SECURITIES, INC.
January 27, 1988 - May 17, 2001
FBN SECURITIES, 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
Series 55
Date: 9/2/2008
Limited Representative-Equity Trader ExamCurrent Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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