Richard J. Arena

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CRD#: 2560324

Professional summary

Richard Joseph Arena 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 1994. Prior to being barred, Richard had worked at 14 firms, which includes ITRADEDIRECT.COM CORP, GUNNALLEN FINANCIAL INC, SAXONY SECURITIES INC., ARISTATRADE SECURITIES LLC, WELLS FARGO CLEARING SERVICES LLC, QUICK & REILLY INC., FLEET ENTERPRISES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., AMERICAN FREEDOM SECURITIES INC., ASH FINANCIAL CORP., FIRST NATIONAL EQUITY CORP., MORGAN GRANT CAPITAL CORP., STERLING FOSTER & COMPANY INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 7, 2005 - July 21, 2005

ITRADEDIRECT.COM CORP

CRD#: 18281

BOCA RATON, FL

Past

August 26, 2004 - June 8, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

May 18, 2004 - June 7, 2004

SAXONY SECURITIES, INC.

CRD#: 115547

ST. LOUIS, MO

Past

February 9, 2004 - May 20, 2004

ARISTATRADE SECURITIES, LLC

CRD#: 112535

HAUPPAUGE, NY

Past

July 23, 2002 - February 4, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 7, 2000 - January 25, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

November 29, 1999 - August 7, 2000

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

April 1, 1999 - December 1, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 1, 1999 - December 1, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

May 8, 1998 - June 11, 1998

AMERICAN FREEDOM SECURITIES, INC.

CRD#: 36484

ROCHESTER, NY

Past

June 6, 1997 - August 12, 1997

ASH FINANCIAL CORP.

CRD#: 24990

GREAT NECK, NY

Past

January 27, 1997 - June 12, 1997

FIRST NATIONAL EQUITY, CORP.

CRD#: 36094

PT. PLEASANT BEACH, NJ

Past

October 21, 1996 - January 27, 1997

MORGAN GRANT CAPITAL CORP.

CRD#: 28595

GARDEN CITY, NY

Past

December 2, 1994 - October 30, 1996

STERLING FOSTER & COMPANY, INC.

CRD#: 36052

UNIONDALE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/1/1994

General Securities Representative Examination

Current Firm

ITRADEDIRECT.COM CORP

CRD#: 18281 / SEC#: , 8-36398

Terminated by SEC on 07/27/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

North Carolina since 07/07/1986

Firm type

Corporation

Fiscal year end

June

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ITRADENOW.COMCORP.	OWNER
ARLT, ERIC DAVID	PRESIDENT / CEO / CCO	2306499
NOVACK, RICHARD CLARENCE	FINOP	1041888

Disclosures

Regulatory Event	13
Arbitration	3

Red Flags

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Firm Stability Insights

Richard J. Arena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GUNNALLEN FINANCIAL, INC

SAXONY SECURITIES, INC.

ARISTATRADE SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

QUICK & REILLY, INC.

FLEET ENTERPRISES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERICAN FREEDOM SECURITIES, INC.

ASH FINANCIAL CORP.

FIRST NATIONAL EQUITY, CORP.

MORGAN GRANT CAPITAL CORP.

STERLING FOSTER & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/1/1995

Series 7

Date: 12/1/1994

Current Firm

ITRADEDIRECT.COM CORP

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ITRADEDIRECT.COM CORP

TRUST BUT VERIFY

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