Fred F. Farina
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.
Fred Frank Farina JR, who also goes by Frederick Frank Farina Jr, Rick Farina, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1972. Fred had worked at 10 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2007 - April 22, 2022
R.W.PRESSPRICH & CO.
April 26, 2006 - October 8, 2007
RBC CAPITAL MARKETS CORPORATION
April 3, 2006 - October 8, 2007
RBC CAPITAL MARKETS, LLC
September 19, 1994 - February 22, 2006
J.P. MORGAN SECURITIES LLC
August 15, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 15, 1989 - September 21, 1994
LEHMAN GOVERNMENT SECURITIES INC.
June 8, 1976 - March 3, 1979
SOGEN-SWISS INTERNATIONAL CORPORATION
July 7, 1975 - October 17, 1975
PHILO SMITH & CO., INC.
August 22, 1972 - August 2, 1975
HAAS SECURITIES CORPORATION
August 17, 1972 - September 21, 1994
LEHMAN BROTHERS 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: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 000
Date: 8/17/1972
General Securities Principal ExaminationSeries 1
Date: 8/17/1972
Registered Representative ExaminationCurrent Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| CAUMARTIN, RENAUD PHILIPPE | SENIOR MANAGING DIRECTOR | 3266876 |
| MILSTEIN, LAWRENCE JOSHUA | DIRECTOR (06/2009) AND SENIOR MANAGING DIRECTOR (10/2018) | 2279858 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
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.
