Richard J. Nicola
Professional summary
Richard John Nicola was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Richard had worked at 8 firms, which includes BARRON CHASE SECURITIES INC., PREFERRED SECURITIES GROUP INC., PRIMEX, MERIDIAN EQUITIES COMPANY, SUPPES SECURITIES INC., FIRST MONTAUK SECURITIES CORP., HANOVER STERLING & COMPANY LTD., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1998 - November 25, 1998
BARRON CHASE SECURITIES, INC.
June 22, 1998 - July 30, 1998
PREFERRED SECURITIES GROUP, INC.
April 9, 1998 - July 21, 1998
PRIMEX
January 10, 1997 - October 14, 1998
MERIDIAN EQUITIES COMPANY
November 17, 1995 - December 13, 1996
SUPPES SECURITIES, INC.
May 26, 1995 - November 14, 1995
FIRST MONTAUK SECURITIES CORP.
March 23, 1995 - June 13, 1995
BARRON CHASE SECURITIES, INC.
August 1, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
August 19, 1993 - August 4, 1994
GKN SECURITIES CORP.
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
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
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