Richard P. Silva

NORTH CAPITAL PRIVATE SECURITIES

Hoboken, NJ 07030

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CRD#: 2091006

Professional summary

Richard Paul Silva JR, who also goes by Richard Paul Jr Silva, is a registered financial professional currently at NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Hoboken, New Jersey.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Paul Jr Silva

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 Paul Silva 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

December 21, 2018 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 22 Hudson Place 3rd Floor, Hoboken, NJ, 07030

CRD#: 154559

Hoboken, NJ

Past

July 13, 2011 - November 13, 2018

STRUCTURED ASSET INVESTORS, LLC

RIA

CRD#: 131539

NEW YORK, NY

Past

July 18, 2005 - November 13, 2018

WELLS FARGO SECURITIES, LLC

CRD#: 126292

NEW YORK, NY

Past

May 3, 2000 - July 12, 2005

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

February 7, 1999 - April 5, 2000

IMPERIAL CAPITAL, LLC

CRD#: 43744

LOS ANGELES, CA

Past

November 15, 1993 - July 10, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/3/2019)

Alaska
(1/25/2019)

Arizona
(1/30/2019)

Arkansas
(1/25/2019)

California
(1/3/2019)

Colorado
(1/4/2019)

Connecticut
(1/4/2019)

Delaware
(2/1/2019)

District of Columbia
(1/25/2019)

Florida
(1/28/2019)

Georgia
(2/1/2019)

Hawaii
(1/31/2019)

Idaho
(1/9/2019)

Illinois
(3/11/2019)

Indiana
(1/11/2019)

Iowa
(1/4/2019)

Kansas
(1/7/2019)

Kentucky
(1/25/2019)

Louisiana
(2/20/2019)

Maine
(1/4/2019)

Maryland
(1/7/2019)

Massachusetts
(1/4/2019)

Michigan
(1/25/2019)

Minnesota
(1/25/2019)

Mississippi
(1/7/2019)

Missouri
(1/4/2019)

Montana
(1/29/2019)

Nebraska
(1/4/2019)

Nevada
(1/9/2019)

New Hampshire
(1/25/2019)

New Jersey
(1/25/2019)

New Mexico
(1/25/2019)

New York
(1/25/2019)

North Carolina
(1/4/2019)

North Dakota
(2/1/2019)

Ohio
(1/3/2019)

Oklahoma
(1/14/2019)

Oregon
(1/7/2019)

Pennsylvania
(1/4/2019)

Rhode Island
(1/3/2019)

South Carolina
(1/4/2019)

South Dakota
(1/14/2019)

Tennessee
(1/28/2019)

Texas
(1/28/2019)

Utah
(12/21/2018)

Vermont
(1/25/2019)

Virginia
(1/3/2019)

Washington
(1/4/2019)

West Virginia
(1/28/2019)

Wisconsin
(1/4/2019)

Wyoming
(1/9/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/3/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/12/2019

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559 / SEC#: , 8-68648

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047

Mailing Address

623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047

Phone number

(415) 315-9916

Established

Delaware since 05/20/2010

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.	OWNER
ANDERSON, JOSEPH CARL	CHIEF COMPLIANCE OFFICER, CHIEF AML COMPLIANCE OFFICER	4644204
BEATON, DANIEL STEWART	FINOP/CFO	4240769
DOWD, JAMES PATRICK	PRESIDENT, EXECUTIVE REP., H.O. SUPER	2109413

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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Advisor Monitoring

Firm Stability Insights

Richard P. Silva

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Paul Silva JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRUCTURED ASSET INVESTORS, LLC

WELLS FARGO SECURITIES, LLC

MORGAN STANLEY & CO. LLC

IMPERIAL CAPITAL, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2011

Series 63

Date: 12/3/1993

Series 3

Date: 4/12/2019

SIE

Date: 10/1/2018

Series 7

Date: 11/12/1993

Series 24

Date: 12/28/2010

FINRA

Current Firm

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

TRUST BUT VERIFY

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