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RS

Richard A. Sitomer

Some features on this profile are disabled
CRD#: 1995999
RS

Professional summary

Richard Allen Sitomer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Richard had worked at 8 firms, which includes MILLENNIUM SECURITIES CORP., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, G.R. STUART & COMPANY INC., ALLIED CAPITAL INC., ADVANCED EQUITY GROUP INC., GKN SECURITIES CORP., HANOVER STERLING & COMPANY LTD., STRATTON OAKMONT INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ricky Sitomer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 22, 1995 - April 18, 2001

MILLENNIUM SECURITIES CORP.

BD
CRD#: 31695
NEW YORK, NY
Past

December 2, 1993 - September 22, 1995

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

May 17, 1993 - December 6, 1993

G.R. STUART & COMPANY, INC.

BD
CRD#: 29101
MAYNARD, MA
Past

March 23, 1993 - April 23, 1993

ALLIED CAPITAL, INC.

BD
CRD#: 25975
NEW YORK, NY
Past

February 19, 1993 - March 24, 1993

ADVANCED EQUITY GROUP, INC.

BD
CRD#: 13873
Past

August 5, 1992 - February 8, 1993

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

May 4, 1992 - June 18, 1992

HANOVER, STERLING & COMPANY LTD.

BD
CRD#: 15491
NEW YORK, NY
Past

November 2, 1990 - April 21, 1992

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, 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
RR
Series 63
Date: 11/9/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/6/1994
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/14/1993
General Securities Principal Examination

Current Firm

MS
MILLENNIUM SECURITIES CORP.
MILLENNIUM SECURITIES CORP.

CRD#: 31695 / SEC#: , 8-45519

BD
Terminated by SEC on 06/11/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/05/1993
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRS HOLDINGS INC.CORPORATION
ROME, TODD MICHAELPRESIDENT/SHAREHOLDER2082803
SITOMER, RICHARD ALLENCEO SHAREHOLDER/FIN OP/CORP. SECRETARY1995999

Disclosures

Regulatory Event8
Arbitration2

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.

Company Information

MILLENNIUM SECURITIES CORP.

CRD#: 31695

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