Richard V. Cancro

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CRD#: 2174025

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 V Cancro, who also goes by Richard VIctor Cancro, Richard Cancro, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Victor Cancro | Richard Cancro

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 17, 2014 - August 2, 2019

NORTH CAPITAL

RIA

CRD#: 148802

SALT LAKE CITY, UT

Past

March 13, 2014 - August 2, 2019

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

June 16, 2009 - March 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JERSEY CITY, NJ

Past

June 10, 2009 - March 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 20, 2004 - June 18, 2009

J.P. MORGAN CLEARING CORP.

RIA

CRD#: 28432

NEW YORK, NY

Past

December 13, 2002 - December 31, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 13, 2002 - June 18, 2009

J.P. MORGAN CLEARING CORP.

CRD#: 28432

BROOKLYN, NY

Past

June 2, 1997 - December 9, 2002

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

July 29, 1993 - June 2, 1997

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

February 4, 1992 - June 29, 1993

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

November 14, 1991 - January 13, 1992

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTH CAPITAL

CRD#: 148802 / SEC#: 801-110598

RIA

Registered Investment Advisory firm - (5/17/2017 Approved)

California

Registered Investment Advisory firm - (7/2/2017 Terminated)

Utah

Registered Investment Advisory firm - (6/2/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/10/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/2000

General Securities Principal Examination

Current Firm

NORTH CAPITAL

CRD#: 148802 / SEC#: 801-110598

RIA

Registered Investment Advisory firm - (5/17/2017 Approved)

California

Registered Investment Advisory firm - (7/2/2017 Terminated)

Utah

Registered Investment Advisory firm - (6/2/2017 Terminated)

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Contact information

Main Address

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

Mailing Address

Phone number

888-625-7768 X1

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (6/27/2025)

Regulatory assets under management

Total Number of Accounts	642
AUM (Assets Under Management)	$ 292,582,491

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 V. Cancro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN CLEARING CORP.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN CLEARING CORP.

HARRISDIRECT LLC

PERSHING LLC

TD AMERITRADE, INC.

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

NORTH CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/2004

Series 63

Date: 11/19/1991

SIE

Date: 10/1/2018

Series 7

Date: 11/13/1991

Series 24

Date: 6/23/2000

Current Firm

NORTH CAPITAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTH CAPITAL

TRUST BUT VERIFY

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