Richard M. Pezzella
Professional summary
Richard Michael Pezzella JR, who also goes by Richard Michael Pezzalla Jr, Richard Pezzella, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 3 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Pezzella JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2026 - Present
CASTLEOAK SECURITIES, LP
Office #1: 200 Vesey Street Fl 04, New York, NY 10281June 16, 2008 - March 4, 2026
CANTOR FITZGERALD & CO.
November 25, 1987 - June 17, 2008
J.P. MORGAN SECURITIES 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
(6/8/2026)
Exams
Series 52TO
Date: 4/26/2023
Municipal Securities Representative ExaminationFINRA
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
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