RR
Richard S. Ross
EVERCORE GROUP L.L.C.
New York, NY 10055
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CRD#: 2419681
RR
Professional summary
Richard Scott Ross is a registered financial professional currently at EVERCORE GROUP L.L.C. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 87, Series 86, Series 55 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Scott Ross's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 22, 2015 - Present
EVERCORE GROUP L.L.C.
Office #1: 55 East 52nd Street, New York, NY 10055BD
CRD#: 42405
New York, NY
Past
October 30, 2014 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
BD
CRD#: 28195
NEW YORK, NY
Past
July 7, 2009 - October 24, 2014
AUERBACH GRAYSON & COMPANY LLC
BD
CRD#: 30761
NEW YORK, NY
Past
September 4, 2008 - June 30, 2009
TOCQUEVILLE SECURITIES L.P.
BD
CRD#: 26001
NEW YORK, NY
Past
September 18, 1997 - January 11, 2006
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
BD
CRD#: 2625
NEW YORK, NY
Past
March 28, 1995 - August 17, 1995
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
BD
CRD#: 6655
NEW YORK, NY
Past
April 18, 1994 - February 6, 1995
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(11/7/2018)
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Alaska(11/7/2018)
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Arizona(11/7/2018)
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Arkansas(1/26/2022)
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California(12/22/2015)
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Colorado(12/22/2015)
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Connecticut(10/20/2016)
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District of Columbia(12/22/2015)
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Florida(12/22/2015)
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Georgia(2/2/2017)
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Illinois(12/22/2015)
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Indiana(1/26/2022)
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Kansas(1/26/2022)
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Kentucky(1/26/2022)
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Louisiana(11/7/2018)
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Maryland(1/26/2022)
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Massachusetts(1/1/2016)
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Michigan(1/26/2022)
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Missouri(1/26/2022)
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Montana(11/7/2018)
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New Hampshire(1/26/2022)
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New Jersey(12/22/2015)
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New York(12/22/2015)
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North Carolina(1/5/2016)
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Ohio(10/20/2016)
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Oklahoma(1/26/2022)
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Oregon(11/7/2018)
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Pennsylvania(11/7/2018)
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Puerto Rico(1/26/2022)
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Rhode Island(11/7/2018)
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South Carolina(2/5/2024)
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Texas(12/22/2015)
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Utah(1/26/2022)
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Virginia(1/1/2016)
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Washington(11/7/2018)
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West Virginia(1/26/2022)
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Wisconsin(1/26/2022)
Exams
State Security Law Exam
General Industry/Product Exam
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Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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Series 55
Date: 3/9/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
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FINRA
SRO Registrations
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Investors' Exchange LLC
SRO Registrations
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Nasdaq BX, Inc.
SRO Registrations
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Nasdaq Stock Market
Current Firm
EG
EVERCORE GROUP L.L.C.
EVERCORE GROUP INC. | EVERCORE PARTNERS INC. | EVERCORE ISI | EVERCORE INC. | EVERCORE GROUP L.L.C.
CRD#: 42405 / SEC#: , 8-49830
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 East 52nd Street, New York, NY 10055
Mailing Address
55 East 52nd Street, New York, NY 10055
Phone number
(212) 857-3100
Established
Delaware since 04/19/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERCORE BD INVESTCO L.L.C. | MANAGING MEMBER | |
| BRYSON, NANCY CLAIRE | CHIEF OPERATING OFFICER | 1978165 |
| CROWE, JOHN CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2494752 |
| FUND, LISA K | PRINCIPAL OPERATIONS OFFICER | 5008055 |
| LALONDE, TIMOTHY GILBERT | CHIEF FINANCIAL OFFICER | 2270483 |
| MARTINEZ, MICHAEL | CHIEF OPERATING OFFICER - EVERCORE ISI | 5100611 |
| MASOTTI, KENNETH ALFRED | CHIEF LEGAL OFFICER | 4436810 |
| MYERS, JENNA | PRINCIPAL OPERATIONS OFFICER | 4582020 |
| PALIOTTA, MICHAEL JOSEPH | CHIEF EXECUTIVE OFFICER OF EVERCORE ISI | 2079036 |
| PENSA, PAUL | CHIEF FINANCIAL OFFICER/FINOP | 2119683 |
| WEINBERG, JOHN | CHIEF EXECUTIVE OFFICER | 2061177 |
Disclosures
| Regulatory Event | 3 |
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.
