Richard E. Scott

SIEBERT WILLIAMS SHANK & CO.

New York, NY 10005

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CRD#: 1967574

Professional summary

Richard Emanuel Scott JR., who also goes by Richard Emanuel Scott Jr, Richard Emanuel Scott, Richard Scott, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2011. Richard has worked at 7 firms and has passed the Series 63 and Series 99TO exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Emanuel Scott Jr | Richard Emanuel Scott | Richard Scott

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

Click below to view Richard Emanuel Scott JR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

June 2, 2025 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 100 Wall Street 18th Floor, New York, NY 10005

CRD#: 42568

New York, NY

Past

February 17, 2023 - May 30, 2025

SAFRA SECURITIES LLC

CRD#: 47873

NEW YORK, NY

Past

January 12, 2023 - February 6, 2023

BBVA SECURITIES INC.

CRD#: 27060

NEW YORK, NY

Past

March 10, 2022 - November 15, 2022

TZERO MARKETS

CRD#: 304537

JERSEY CITY, NJ

Past

March 10, 2022 - November 15, 2022

TZERO SECURITIES, LLC

CRD#: 123421

JERSEY CITY, NJ

Past

November 17, 2020 - March 18, 2022

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

April 26, 2011 - July 25, 2014

DU PASQUIER & CO., INC.

CRD#: 24750

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

State Security Law Exam

Series 63

Date: 5/4/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

SRO Registrations

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street 18th Floor, New York, NY 10005

Mailing Address

100 Wall Street 18th Floor, New York, NY 10005

Phone number

(646) 775-4850

Established

Delaware since 03/10/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SHANK WILLIAMS CISNEROS, LLC	OWNER
CALABRISOTTO, DIANNE NMN	AML OFFICER	1273900
CALABRISOTTO, DIANNE NMN	CHIEF COMPLIANCE OFFICER & COO	1273900
CHANDA, ATEESH SINGH	CHIEF LEGAL OFFICER	6973151
DIAZ, DANIEL	FINANCIAL PRINCIPAL	2214417
HALL, GARY	CO-PRESIDENT	4393662
SHANK-WERDLOW, SUZANNE FRANCES	CEO, DIRECTOR OF PARENT	1860931
THOMPSON, WILLIAM COLRIDGE JR	CHIEF ADMINISTRATIVE OFFICER	2316101
WARNER, SOBANI MULENGA	CO-PRESIDENT	1732009

Disclosures

Regulatory Event

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.

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Richard E. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Emanuel Scott JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

SIEBERT WILLIAMS SHANK & CO., LLC

SAFRA SECURITIES LLC

BBVA SECURITIES INC.

TZERO MARKETS

TZERO SECURITIES, LLC

JOSEPH GUNNAR & CO. LLC

DU PASQUIER & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/2012

Series 99TO

Date: 1/2/2023

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIEBERT WILLIAMS SHANK & CO., LLC

TRUST BUT VERIFY

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