Fiore J. Gallucci
Professional summary
Fiore John Gallucci was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Fiore is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Fiore had worked at 13 firms, which includes R.W.PRESSPRICH & CO., AUBREY G. LANSTON & CO. INC., NEW JAPAN SECURITIES INTERNATIONAL INC., BERSEC INTERNATIONAL CORPORATION, DEUTSCHE BANK GOVERNMENT SECURITIES INC, DEUTSCHE BANK CAPITAL CORPORATION, CIBC WORLD MARKETS CORP., THE SUMMIT SECURITIES GROUP, W. H. MORTON & CO., E. F. HUTTON & COMPANY INC, DOMIK CORP., DREXEL FIRESTONE INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 1999 - November 17, 2003
R.W.PRESSPRICH & CO.
July 16, 1997 - September 8, 1999
AUBREY G. LANSTON & CO., INC.
July 8, 1993 - July 8, 1997
NEW JAPAN SECURITIES INTERNATIONAL INC.
August 5, 1992 - June 18, 1993
BERSEC INTERNATIONAL CORPORATION
November 21, 1989 - August 18, 1992
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
October 8, 1980 - August 3, 1992
DEUTSCHE BANK CAPITAL CORPORATION
February 6, 1979 - October 30, 1980
CIBC WORLD MARKETS CORP.
October 4, 1976 - February 21, 1979
THE SUMMIT SECURITIES GROUP
March 18, 1974 - September 13, 1976
DEUTSCHE BANK CAPITAL CORPORATION
August 14, 1973 - March 2, 1974
W. H. MORTON & CO.
October 2, 1972 - August 16, 1973
E. F. HUTTON & COMPANY INC
February 1, 1972 - October 13, 1972
DOMIK CORP.
August 3, 1971 - February 13, 1972
DREXEL FIRESTONE INCORPORATED
May 1, 1969 - August 6, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 1
Date: 4/25/1969
Registered Representative ExaminationSeries 40
Date: 8/23/1976
Registered Principal ExaminationCurrent Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (1 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 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CAUMARTIN, RENAUD | BOARD MEMBER | 3266876 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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