Joseph P. Ricca
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.
Joseph Patrick Ricca, who also goes by Jay Ricca, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 57TO, SIE, Series 55 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
March 31, 2008 - March 31, 2020
WHITAKER SECURITIES LLC
March 30, 2006 - April 1, 2008
SEABOARD SECURITIES, INC.
January 22, 2003 - March 30, 2006
FIRST BROKERS SECURITIES LLC
April 20, 2001 - January 30, 2003
UBS FINANCIAL SERVICES INC.
March 6, 1996 - April 25, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 10/15/2022
General Securities Representative ExaminationSeries 57TO
Date: 10/15/2022
Securities Trader ExamSeries 55
Date: 11/2/2004
Limited Representative-Equity Trader ExamCurrent Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 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.
