Thomas A. Riccoboni
Professional summary
Thomas A Riccoboni is a registered financial professional currently at NETWORK 1 FINANCIAL SECURITIES INC. located in Red Bank, New Jersey.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas A Riccoboni's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2015 - Present
NETWORK 1 FINANCIAL SECURITIES INC.
Office #1: The Galleria Penthouse, Building 2 Suite 241 2 Bridge Avenue, Red Bank, NJ, 07701Office #2: The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701February 22, 2010 - April 12, 2013
CHARLES VISTA LLC
February 26, 2007 - February 19, 2010
ANDREW GARRETT INC.
March 25, 2005 - February 28, 2007
S.W. BACH & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/17/2025)
(2/15/2024)
(10/6/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/14/2005
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
Red Flags
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