Ralph L. Riccio

TJM INVESTMENTS

New York, NY 10005

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CRD#: 1846900

Professional summary

Ralph Lawrence Riccio is a registered financial professional currently at TJM INVESTMENTS, LLC located in New York, New York.

Ralph is registered as a RR (Registered Representative) and started their career in finance in 1988. Ralph has worked at 5 firms and has passed the Series 57TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 29, 2013 - Present

TJM INVESTMENTS, LLC

Office #1: Nyse Trading Floor 11 Wall Street, New York, NY 10005

CRD#: 46300

New York, NY

Past

January 19, 2010 - April 8, 2013

MND PARTNERS, INC.

CRD#: 131833

NEW YORK, NY

Past

October 17, 2008 - March 2, 2010

TAG SECURITIES CORP.

CRD#: 104076

NEW YORK, NY

Past

April 17, 2007 - October 14, 2008

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

January 2, 2002 - October 13, 2003

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

July 19, 1988 - January 2, 2002

HENDERSON BROTHERS, INC.

CRD#: 2171

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/13/2008

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

New York Stock Exchange

Current Firm

TJM INVESTMENTS, LLC

MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

318 W. Adams Street Suite 900, Chicago, IL 60606

Mailing Address

318 W. Adams Street 9th Floor, Chicago, IL 60606

Phone number

(312) 432-5100

Established

Illinois since 10/13/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TJM HOLDINGS, LLC	HOLDING COMPANY
BEITLER, STEVE ALLEN	CHIEF EXECUTIVE OFFICER	1893827
BURKE, JOHN TERRENCE	CHIEF OPERATING OFFICER	2116593
DANG, STACY BINH	CHIEF COMPLIANCE OFFICER	3143275
MURPHY, THOMAS JAMES	CO-MANAGER	857354
RISINGER, COLLEEN SULLIVAN	FINOP CFO	2812053
SKWERES, DENISE PAREJKO	FINOP CFO	5332253

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Ralph L. Riccio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph Lawrence Riccio's CRS (Customer Relationship Summary).

Certified licenses

Experience

MND PARTNERS, INC.

TAG SECURITIES CORP.

LABRANCHE FINANCIAL SERVICES, LLC

LABRANCHE FINANCIAL SERVICES, LLC

HENDERSON BROTHERS, INC.

State Registrations and Notice Filings

Exams

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2007

Series 24

Date: 5/13/2008

FINRA

NYSE American LLC

NYSE Arca, Inc.

New York Stock Exchange

Current Firm

TJM INVESTMENTS, LLC

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TJM INVESTMENTS, LLC

TRUST BUT VERIFY

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