Rick F. Strocchio
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 1995 - April 23, 2001
DREYFUS BROKERAGE SERVICES, INC.
May 23, 1995 - July 17, 1995
GRUNTAL & CO., L.L.C.
February 27, 1995 - April 21, 1995
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Exams
Series 8
Date: 8/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DREYFUS BROKERAGE SERVICES, INC.
CRD#: 7289 / SEC#: , 8-20949
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 25 |
Red Flags
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