Richard D. Ziegenbalg
Professional summary
Richard Donald Ziegenbalg, who also goes by Richard Donald Ziegenbalg Jr, Richard Ziegenbalg, Richard D Ziegenbalg, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 15 firms and has passed the Series 63, Series 57TO, Series 52TO, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 6, Series 10, Series 9, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Donald Ziegenbalg's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 2024 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103November 29, 2022 - February 6, 2024
PERSHING LLC
November 29, 2022 - February 6, 2024
PERSHING ADVISOR SOLUTIONS LLC
September 26, 2019 - February 6, 2024
BNY MELLON CAPITAL MARKETS, LLC
February 23, 2017 - February 25, 2019
CITIGROUP GLOBAL MARKETS INC.
October 12, 2010 - August 9, 2016
BARCLAYS CAPITAL INC.
June 13, 2005 - October 11, 2010
MORGAN STANLEY & CO. LLC
March 28, 2005 - June 3, 2005
UBS SECURITIES LLC
October 26, 1995 - June 3, 2005
UBS CAPITAL MARKETS L.P.
January 23, 1995 - October 24, 1995
CARLIN EQUITIES, LLC
July 19, 1994 - January 20, 1995
SUPPES SECURITIES, INC.
February 16, 1994 - July 5, 1994
FLEET ENTERPRISES, INC.
September 1, 1993 - December 2, 1993
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
July 29, 1993 - August 13, 1993
AMERICAN CAPITAL CORPORATION
July 6, 1993 - August 17, 1993
PFS INVESTMENTS 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
(3/20/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/6/1998
Limited Representative-Equity Trader ExamFINRA
Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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