Richard D. Jacaruso
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 Donald Jacaruso was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 11 firms and has passed the Series 1, Series 24, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2005 - April 10, 2007
BROOKSTREET SECURITIES CORPORATION
April 4, 1990 - November 14, 2005
FIRST MONTAUK SECURITIES CORP.
May 26, 1987 - April 2, 1990
SHELTER ROCK SECURITIES CORP.
April 3, 1987 - May 1, 1987
DOMESTIC ARBITRAGE GROUP, INC.
August 27, 1981 - November 1, 1983
SUTTON PLACE SECURITIES, INC.
December 1, 1980 - October 29, 1987
BUNKER SECURITIES CORP.
September 4, 1980 - August 24, 1981
BROOKS, HAMBURGER, SATNICK, INC.
May 21, 1980 - August 17, 1980
CROWN FINANCIAL GROUP, INC.
March 20, 1975 - July 11, 1980
MONARCH FUNDING CORP.
May 21, 1973 - May 10, 1977
RICHARD, DONALD & COMPANY, INC.
March 17, 1970 - August 25, 1973
SMITH JACKSON AND COMPANY 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 1
Date: 6/21/1968
Registered Representative ExaminationF04
Date: 10/22/1973
Financial Principal ExaminationSeries 00
Date: 3/9/1970
General Securities Principal ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
