Richard Curi
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 Curi, who also goes by Rick Curi, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 6 firms and has passed the Series 63, Series 55 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
March 11, 2013 - July 7, 2014
VAN LANSCHOT KEMPEN (USA) INC.
January 20, 2011 - October 31, 2012
ING FINANCIAL MARKETS LLC
November 30, 1998 - February 24, 1999
FIRST NEW YORK SECURITIES L.L.C.
August 21, 1995 - November 25, 1998
SCHRODER & CO. INC.
January 20, 1995 - August 18, 1995
CEDAR STREET SECURITIES CORP.
September 29, 1994 - December 20, 1994
INTESA SANPAOLO IMI 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
Series 55
Date: 6/10/2011
Limited Representative-Equity Trader ExamCurrent Firm
VAN LANSCHOT KEMPEN (USA) INC.
CRD#: 38760 / SEC#: , 8-48389
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
