Joseph A. Rizzi
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.
Joseph Anthony Rizzi, who also goes by Jay Rizzi Jr, Joseph A Rizzi, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 9 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2012 - December 9, 2013
PACIFIC CREST SECURITIES LLC
December 22, 2010 - August 19, 2011
GRANDVIEW CAPITAL MARKETS, LLC
May 15, 2006 - May 2, 2008
WALL STREET ACCESS
August 8, 2005 - January 11, 2006
ROCHDALE SECURITIES LLC
June 7, 1999 - August 22, 2001
DEUTSCHE BANK SECURITIES INC.
December 23, 1998 - June 7, 1999
DB ALEX. BROWN LLC
March 2, 1998 - November 6, 1998
RBC CAPITAL MARKETS, LLC
August 5, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 15, 1994 - September 7, 1995
ALLIANCEBERNSTEIN INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PACIFIC CREST SECURITIES LLC
CRD#: 6619 / SEC#: , 8-17885
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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