Rita G. Adler
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.
Rita Guerin Adler, who also goes by Rita G Adler, Rita Gilligan, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1994. Rita had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2012 - January 2, 2018
BNY MELLON SECURITIES CORPORATION
January 3, 2011 - March 30, 2012
FORESIDE GLOBAL SERVICES, LLC
February 1, 2010 - July 9, 2010
FAIRHOLME DISTRIBUTORS, LLC
October 28, 2008 - July 9, 2010
FORESIDE GLOBAL SERVICES, LLC
May 24, 2001 - December 5, 2008
BLACKROCK DISTRIBUTORS, INC
May 24, 2001 - January 2, 2009
NORTHERN FUNDS DISTRIBUTORS, LLC
May 24, 2001 - July 9, 2010
MGI FUNDS DISTRIBUTORS, LLC
May 24, 2001 - July 9, 2010
STERLING CAPITAL DISTRIBUTORS, LLC
June 7, 2000 - March 30, 2012
FORESIDE FUNDS DISTRIBUTORS LLC
October 13, 1998 - May 5, 2000
PROFESSIONAL FUND DISTRIBUTORS CORP.
December 8, 1994 - July 1, 1998
FIRST CLEARING, LLC
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
