Richard J. Tobin
Professional summary
Richard Joseph Tobin, who also goes by Rich Tobin, is a registered financial professional currently at GTN AMERICAS FINANCIAL SERVICES located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Tobin's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 25, 2023 - Present
GTN AMERICAS FINANCIAL SERVICES
Office #1: 32 Old Slip Suite 3200c, New York, NY 10005April 22, 2014 - July 30, 2018
HSBC SECURITIES (USA) INC.
October 22, 2013 - May 5, 2014
CAPITAL GUARDIAN, LLC
August 30, 2012 - October 10, 2013
DALMORE GROUP LLC
May 14, 2009 - March 31, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
August 25, 2004 - April 28, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2002 - April 28, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 1998 - September 1, 1998
SALOMON BROTHERS INC.
April 23, 1998 - April 15, 2002
CITIGROUP GLOBAL MARKETS INC.
October 17, 1995 - March 10, 1998
ING BARING (U.S.) SECURITIES, 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
Exams
Series 55
Date: 1/20/2005
Limited Representative-Equity Trader ExamFINRA
Current Firm
GTN AMERICAS FINANCIAL SERVICES
CRD#: 315499 / SEC#: , 8-70748
Contact information
FINRA licenses (15 States and Territories)
Documents
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.
