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Richard J. Petrone

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CRD#: 2292200
RP

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 John Petrone, who also goes by Richard J Petrone, Richard Petrone, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard J Petrone | Richard Petrone

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

September 9, 2015 - June 1, 2016

GREENLEYS CAPITAL MARKETS LLP

BD
CRD#: 168558
NYC, NY
Past

April 22, 2015 - June 17, 2015

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

August 23, 2010 - January 30, 2013

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

May 5, 2009 - August 18, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

September 5, 2008 - November 20, 2008

LINKBROKERS DERIVATIVES LLC

BD
CRD#: 123000
JERSEY CITY, NJ
Past

November 8, 2005 - July 17, 2008

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY
Past

September 20, 1996 - September 9, 2005

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

November 9, 1994 - September 17, 1996

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA
Past

July 30, 1993 - October 28, 1994

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

January 14, 1993 - July 1, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 5/21/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/15/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/23/1992
General Securities Representative Examination

Current Firm

GC
GREENLEYS CAPITAL MARKETS LLP
GREENLEYS CAPITAL MARKETS LLP | LXM USA LLP | LXM GROUP

CRD#: 168558 / SEC#: , 8-69319

BD
Terminated by SEC on 03/25/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/15/2013
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MAVRIDOGLOU, MATTHEW NICHOLAS DAVIDGENERAL PARTNER6226949
GRAY, JOHN CLARKEFINOP, CFO1367440
SWEENEY, RICHARD ACEO/CCO2396562

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.

Company Information

GREENLEYS CAPITAL MARKETS LLP

CRD#: 168558

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