Russell R. Riccobono
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.
Russell Robert Riccobono was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1992. Russell had worked at 12 firms and has passed the Series 65, Series 63, Series 55, Series 87, Series 7, Series 53, Series 10, Series 9, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2010 - December 21, 2012
NEWPORT COAST SECURITIES, INC.
May 24, 2010 - December 21, 2012
NEWPORT COAST SECURITIES, INC.
July 8, 2008 - July 10, 2008
HUNTER WORLD MARKETS, INC.
August 30, 2007 - June 13, 2008
B. RILEY WEALTH ADVISORS, INC.
August 17, 2007 - June 13, 2008
NATIONAL SECURITIES CORPORATION
July 30, 2003 - November 23, 2005
FIRST SECURITIES USA, INC.
July 1, 2003 - June 28, 2007
BROOKSTREET SECURITIES CORPORATION
April 18, 2002 - November 1, 2002
BROWNCO, LLC
February 4, 2000 - June 7, 2002
DREYFUS BROKERAGE SERVICES, INC.
June 9, 1999 - July 8, 1999
INTERFIRST CAPITAL CORPORATION
November 18, 1997 - December 7, 1998
A. G. EDWARDS & SONS, INC.
April 10, 1997 - October 2, 1997
KENNEDY, CABOT & CO.
August 23, 1995 - March 20, 1997
KIRLIN SECURITIES INC.
August 25, 1992 - August 18, 1995
INTERFIRST CAPITAL CORPORATION
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 55
Date: 6/9/2010
Limited Representative-Equity Trader ExamCurrent Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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