Richard J. Poli
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 Joseph Poli JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 7 firms and has passed the Series 63, Series 65, SIE 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
December 7, 2011 - July 25, 2016
DESTRA CAPITAL INVESTMENTS LLC
October 7, 2008 - October 25, 2010
TRANSAMERICA CAPITAL, LLC
April 26, 2004 - August 13, 2008
VAN KAMPEN ADVISORS INC
December 15, 1995 - August 13, 2008
INVESCO CAPITAL MARKETS, INC.
July 31, 1993 - August 8, 1995
CITIGROUP GLOBAL MARKETS INC.
February 22, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
December 11, 1992 - February 18, 1993
CINCINNATI ANALYSTS, INC.
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
Current Firm
DESTRA CAPITAL INVESTMENTS LLC
CRD#: 148299 / SEC#: , 8-68006
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
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.
