Richard J. Szambel
Professional summary
Richard John Szambel, who also goes by Rick Szambel, is a registered financial professional currently at WEILD & CO. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1988. Richard has worked at 12 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 37, Series 7TO, Series 6TO, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard John Szambel's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2023 - Present
WEILD & CO.
Office #1: 230 Park Avenue 3rd And 4th Floors, New York, NY 10169July 25, 2019 - February 22, 2021
CLEAR STREET LLC
October 2, 2017 - October 25, 2018
THE ULTIMA GLOBAL MARKETS (USA), INC.
May 29, 2012 - January 11, 2017
TD PRIME SERVICES LLC
August 31, 2009 - May 29, 2012
SSC NY CORP.
December 5, 2005 - May 11, 2009
HUDSON SECURITIES,INC.
March 29, 2005 - December 5, 2005
FULCRUM GLOBAL PARTNERS LLC
April 15, 2003 - March 17, 2005
CROWN FINANCIAL GROUP, INC.
February 28, 2000 - April 16, 2003
KNIGHT CAPITAL AMERICAS, L.P.
November 26, 1997 - February 11, 2000
CROWN FINANCIAL GROUP, INC.
September 5, 1990 - January 28, 1992
NYLIFE SECURITIES LLC
July 14, 1988 - July 9, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 27, 1988 - July 9, 1990
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/14/2023)
(3/26/2023)
Exams
Series 99TO
Date: 3/9/2023
Operations Professional ExaminationSeries 79TO
Date: 3/9/2023
Investment Banking Registered Representative ExaminationSeries 37
Date: 3/9/2023
Canada Module of the General Securities Registered Representative (With Options Questions)Series 7TO
Date: 3/9/2023
General Securities Representative ExaminationSeries 6TO
Date: 3/9/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 57TO
Date: 3/9/2023
Securities Trader ExamSeries 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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