Richard J. Gillespie
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.
Richard Julius Gillespie was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 9 firms and has passed the SIE, Series 7, Series 16 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2008 - October 6, 2022
SG AMERICAS SECURITIES, LLC
June 18, 2002 - August 25, 2008
J.P. MORGAN SECURITIES LLC
February 14, 2002 - June 13, 2002
J.P. MORGAN SECURITIES INC.
October 10, 2000 - April 26, 2001
ROBERT FLEMING INC.
February 2, 2000 - October 30, 2000
PERSHING LLC
June 30, 1998 - February 10, 2000
DB ALEX. BROWN LLC
January 11, 1996 - March 16, 1998
NATWEST SECURITIES CORPORATION
November 17, 1993 - January 11, 1996
KLEINWORT BENSON NORTH AMERICA INC.
September 7, 1990 - January 3, 1992
MORGAN STANLEY & CO. LLC
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
Current Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CHIEF EXECUTIVE OFFICER | 6390499 |
| CULLEN, EDWARD PATRICK | OPERATIONAL RISK MANAGER | 1551615 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
