Richard J. Perrelli
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 James Perrelli, who also goes by Richard J Perrelli, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2014 - February 18, 2016
SANDLER, O'NEILL & PARTNERS, L.P.
April 5, 2012 - April 27, 2012
COHEN & COMPANY SECURITIES, LLC
September 20, 2010 - February 17, 2012
COHEN & COMPANY CAPITAL MARKETS, LLC
April 24, 2008 - October 4, 2010
COHEN & COMPANY SECURITIES, LLC
April 8, 2003 - April 21, 2008
ALLY SECURITIES LLC
October 11, 1991 - December 31, 1992
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SANDLER, O'NEILL & PARTNERS, L.P.
CRD#: 23328 / SEC#: , 8-40214
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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