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RR

Robert A. Riglietti

TRADEWEB DIRECT LLC
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 2491542
RR

Professional summary

Robert Anthony Riglietti, who also goes by Robert A Riglietti, Robert A. Riglietti, is a registered financial professional currently at TRADEWEB DIRECT LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 7 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert A Riglietti | Robert A. Riglietti

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Anthony Riglietti'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®
None

Experience

Current

October 21, 2024 - Present

TRADEWEB DIRECT LLC

Office #1: 245 Park Avenue Floor 30, New York, NY 10167Office #2: 1225 Franklin Avenue Suite 550, Garden City, NY 11530
BD
CRD#: 103787
NEW YORK, NY
Past

August 28, 2020 - May 23, 2024

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

August 14, 2020 - May 23, 2024

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

May 16, 2014 - May 23, 2024

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

June 1, 2009 - September 9, 2016

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

February 5, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 22, 1998 - February 21, 2001

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

April 15, 1997 - April 6, 1998

MUNICIPAL PARTNERS INC.

BD
CRD#: 24513
NEW YORK, NY
Past

August 12, 1994 - April 25, 1997

TULLETT & TOKYO SECURITIES, INC.

BD
CRD#: 19595
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
New York
(10/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/19/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/15/2005
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TD
TRADEWEB DIRECT LLC
BONDDESK TRADING LLC | TRADEWEB DIRECT LLC

CRD#: 103787 / SEC#: , 8-52278

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(212) 808-0004
Established
Delaware since 11/03/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BONDDESK GROUP LLCOWNER
BRUNER, CHRISTIAN ADAMBOARD MEMBER5661505
CAHALANE, JOHN JOSEPHPRESIDENT2922033
CLACK, AMYBOARD MEMBER4882071
FRIEDMAN, DOUGLAS L.GENERAL COUNSEL5121291
MCGUIRE, MICHAEL TERRENCECHIEF COMPLIANCE OFFICER2267871
PITTINSKY, JONATHAN DAVIDCHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL4291263
SERRAO, ASHLEY NEILBOARD MEMBER5360541
WOOD, ELISABETH KIRBYBOARD MEMBER4929181

Disclosures

Regulatory Event2

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.

Company Information

TRADEWEB DIRECT LLC

CRD#: 103787New York, NY 10167

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Contact information

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