Richard M. Berteletti
Professional summary
Richard M Berteletti JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Richard had worked at 11 firms, which includes THINKEQUITY LLC, PHD CAPITAL, EKN FINANCIAL SERVICES INC., NATIONAL SECURITIES CORPORATION, SUMMIT BROKERAGE SERVICES INC., INDIANAPOLIS SECURITIES INC., J.P. TURNER & COMPANY L.L.C., DPEC CAPITAL INC., TRADE.COM ONLINE SECURITIES INC., JWGENESIS SECURITIES INC., THE BOSTON GROUP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2007 - November 26, 2007
THINKEQUITY LLC
June 25, 2007 - October 25, 2007
PHD CAPITAL
March 13, 2007 - July 12, 2007
EKN FINANCIAL SERVICES INC.
August 1, 2005 - March 7, 2007
NATIONAL SECURITIES CORPORATION
September 17, 2003 - July 19, 2005
SUMMIT BROKERAGE SERVICES, INC.
March 28, 2003 - September 18, 2003
INDIANAPOLIS SECURITIES, INC.
October 26, 2001 - March 26, 2003
J.P. TURNER & COMPANY, L.L.C.
March 13, 2001 - November 9, 2001
DPEC CAPITAL, INC.
October 28, 1999 - March 26, 2001
TRADE.COM ONLINE SECURITIES, INC.
September 28, 1998 - November 8, 1999
JWGENESIS SECURITIES, INC.
July 24, 1998 - September 17, 1998
NATIONAL SECURITIES CORPORATION
February 12, 1996 - July 24, 1998
THE BOSTON GROUP
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
Current Firm
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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