Richard V. Morello
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 Vincent Morello, who also goes by Richard VIncent Morello Jr, Richard Morello, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2008 - June 30, 2009
VFINANCE INVESTMENTS, INC
October 19, 2007 - February 12, 2008
CAPITAL GROWTH FINANCIAL, LLC
October 12, 2007 - October 23, 2007
NEWBRIDGE SECURITIES CORPORATION
August 11, 2005 - October 31, 2007
DAWSON JAMES SECURITIES, INC.
March 4, 2004 - September 12, 2005
NEWBRIDGE SECURITIES CORPORATION
February 2, 2001 - November 6, 2001
PRO-INTEGRITY SECURITIES, INC.
November 21, 2000 - February 6, 2001
OAK BROOK SECURITIES CORP.
March 14, 2000 - November 30, 2000
WOODSTOCK FINANCIAL GROUP, INC.
April 21, 1997 - April 29, 1998
DUKE & CO., INC.
August 22, 1996 - March 19, 1997
THE BOSTON GROUP
August 18, 1994 - July 16, 1996
MONROE PARKER SECURITIES, INC.
April 5, 1993 - August 8, 1994
BILTMORE SECURITIES, 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
Current Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
