Richard W. Sanfilippo
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 William Sanfilippo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 14 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2001 - May 30, 2002
FIRST SECURITY INVESTMENTS, INC.
July 24, 1997 - March 27, 2001
ACCESS FINANCIAL GROUP, INC.
March 6, 1997 - August 20, 1997
TYM SECURITIES, INC.
December 7, 1995 - November 14, 1996
JOSEPH DILLON & COMPANY INC.
August 10, 1994 - October 17, 1995
SEABOARD SECURITIES, INC.
May 4, 1994 - September 19, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 14, 1993 - January 13, 1994
KENSINGTON WELLS INCORPORATED
March 24, 1993 - May 20, 1993
CONTINENTAL BROKER-DEALER CORP.
July 5, 1991 - September 17, 1991
INVESTORS ASSOCIATES, INC.
September 13, 1990 - July 1, 1991
SOUTH RICHMOND SECURITIES, INC.
June 27, 1989 - April 10, 1990
STRATTON OAKMONT INC.
April 7, 1989 - June 23, 1989
WILLIAM M. CADDEN & CO., INC.
January 5, 1989 - April 4, 1989
INDIVIDUAL'S SECURITIES LTD.
February 23, 1988 - January 4, 1989
INVESTORS CENTER, 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
Current Firm
FIRST SECURITY INVESTMENTS, INC.
CRD#: 24035 / SEC#: , 8-40870
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
