Richard V. Policastro
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 Victor Policastro was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, 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
November 27, 2023 - May 9, 2024
HIGHTOWER SECURITIES, LLC
May 14, 2014 - May 11, 2020
NATIONAL FINANCIAL SERVICES LLC
January 17, 2013 - May 11, 2020
FIDELITY BROKERAGE SERVICES LLC
September 22, 2005 - November 30, 2012
CHARLES SCHWAB & CO., INC.
July 21, 2003 - August 24, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1990 - February 9, 1990
JJC SECURITIES CO., INC.
January 11, 1990 - February 28, 2001
CHARLES SCHWAB & CO., INC.
January 2, 1990 - January 18, 1990
HANIFEN, IMHOFF SECURITIES CORP.
July 3, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
February 13, 1989 - July 19, 1989
CHARLES SCHWAB & CO., INC.
July 19, 1988 - December 19, 1988
HIBBARD BROWN & CO., 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 7TO
Date: 11/9/2022
General Securities Representative ExaminationCurrent Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
