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Alexander E. Ricci

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CRD#: 2297783
AR

Professional summary

Alexander Eric Ricci was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alexander is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Alexander had worked at 9 firms, which includes MAGNUM SECURITIES OF NEW YORK INC., VALLEY FORGE SECURITIES INC ., R.D. WHITE & CO. INC., LCP CAPITAL CORP., FIRST METROPOLITAN SECURITIES INC., FIRST LIBERTY INVESTMENT GROUP INC., WILLIAM SCOTT & CO. L.L.C., MEYERS POLLOCK ROBBINS INC., J.W. BARCLAY & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 21, 2000 - December 15, 2000

MAGNUM SECURITIES OF NEW YORK INC.

BD
CRD#: 39267
NEW YORK, NY
Past

July 31, 1999 - August 17, 2000

VALLEY FORGE SECURITIES, INC .

BD
CRD#: 20892
ROSEMONT, PA
Past

January 4, 1999 - April 30, 1999

R.D. WHITE & CO., INC.

BD
CRD#: 7011
NEW YORK, NY
Past

June 19, 1998 - September 15, 1998

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

April 6, 1998 - June 15, 1998

FIRST METROPOLITAN SECURITIES, INC.

BD
CRD#: 7594
NEW YORK, NY
Past

December 11, 1997 - April 22, 1998

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

June 21, 1995 - October 30, 1997

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

January 31, 1994 - July 10, 1995

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

June 16, 1993 - January 29, 1994

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ

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: 8/31/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1993
General Securities Representative Examination

Current Firm

MS
MAGNUM SECURITIES OF NEW YORK INC.
MAGNUM SECURITIES OF NEW YORK INC.

CRD#: 39267 / SEC#: , 8-48584

BD
Terminated by SEC on 03/11/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 05/15/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAMBRO, GEORGE WILLIAMCHAIRMAN1875636
KAZAK, PAULPASSIVE OWNER2162021
BOTTA, STEVEN GREGORYOPS MGR
BUCHANAN, VINCENT ANTHONYCO FINANCIAL OPERATIONS PRINCIPAL34247
GOOD, DENNIS LEEHEAD TRADER/CROP/SROP1426482
WILSON, JOHN JAMESADMIN OFF732737

Disclosures

Regulatory Event5

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

MAGNUM SECURITIES OF NEW YORK INC.

CRD#: 39267

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