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Rick F. Strocchio

Some features on this profile are disabled
CRD#: 2586060
RS

Professional summary

Rick Fred Strocchio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rick is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Rick had worked at 3 firms, which includes DREYFUS BROKERAGE SERVICES INC., GRUNTAL & CO. L.L.C., CHATFIELD DEAN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

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

November 1, 1995 - April 23, 2001

DREYFUS BROKERAGE SERVICES, INC.

BD
CRD#: 7289
LOS ANGELES, CA
Past

May 23, 1995 - July 17, 1995

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

February 27, 1995 - April 21, 1995

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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
RR
Series 63
Date: 2/27/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 7/13/1998
Registered Options Principal Examination

Current Firm

DB
DREYFUS BROKERAGE SERVICES, INC.
BROWN DIRECT, INC. | PACIFIC BROKERAGE SERVICES, INC. | PACIFIC BROKERAGE SERVICES | DREYFUS BROKERAGE SERVICES, INC. | D. E. TOWERS & CO.

CRD#: 7289 / SEC#: , 8-20949

BD
Terminated by SEC on 10/28/2002
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 07/16/1976
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROWN & COMPANY SECURITIES CORPORATIONDIRECT OWNER1326
FISHER, ELIZABETH JOANNEPRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR873737
OCONNOR, FRANCIS GERARDDIRECTOR860842
REDDY, JAMES THOMASFINOP2840345
STANNEY, GERALD HURST JRCOMPLIANCE OFFICER1804857
VERNAMONTI, KAREN LDIRECTOR2483738

Disclosures

Regulatory Event4
Arbitration25

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.

Company Information

DREYFUS BROKERAGE SERVICES, INC.

CRD#: 7289

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