Richard Monticciolo
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 Monticciolo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 7 firms and has passed the Series 63, SIE 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
May 20, 2021 - July 2, 2025
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
May 26, 2015 - May 11, 2021
MARKETAXESS CORPORATION
June 18, 2004 - May 20, 2015
SG AMERICAS SECURITIES, LLC
July 22, 1998 - June 14, 2004
COWEN AND COMPANY
November 7, 1996 - October 13, 1997
NORTHEAST SECURITIES, LLC
March 2, 1995 - April 11, 1995
A. T. BROD & CO. INC.
October 6, 1994 - December 23, 1994
ROBERT TODD FINANCIAL 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
Current Firm
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
CRD#: 131487 / SEC#: , 8-66471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED | OWNER | |
| CHEN, MING | DEPUTY CHIEF EXECUTIVE OFFICER, FINANCE | 6612667 |
| GU, JIHONG | MANAGER, BOARD OF MANAGERS | 7246351 |
| LONG, HUA | MANAGER, BOARD OF MANAGERS | 7893463 |
| LYU, YU | EXECUTIVE CHAIRMAN, BOARD OF MANAGERS | 8016015 |
| SCHWARTZ, LANNY ALAN | MANAGER, BOARD OF MANAGERS | 2067101 |
| VIRGILIO, ROBERT | CHIEF COMPLIANCE OFFICER | 1464899 |
| ZHU, YOUXI | MANAGER, BOARD OF MANAGERS | 7354740 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
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.
