RG
Richard E. Gormley
H.C.WAINWRIGHT & CO.
New York, NY 10022
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CRD#: 2596372
RG
Professional summary
Richard Edward Gormley is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Gormley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 20, 2018 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022BD
CRD#: 375
New York, NY
Past
October 1, 2014 - November 13, 2018
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
May 3, 2007 - August 14, 2014
FM PARTNERS HOLDINGS LLC
BD
CRD#: 134736
NEW YORK, NY
Past
June 28, 2006 - August 13, 2014
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
April 10, 2000 - June 14, 2006
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
August 21, 1998 - July 29, 1999
BOSTON PARTNERS SECURITIES, L.L.C.
BD
CRD#: 2998
BOSTON, MA
Past
August 3, 1995 - October 15, 1996
HARRIS NESBITT CORP.
BD
CRD#: 7299
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/8/2020)
RR
Alaska(10/8/2020)
RR
Arizona(10/8/2020)
RR
Arkansas(10/8/2020)
RR
California(10/8/2020)
RR
Colorado(10/8/2020)
RR
Connecticut(10/8/2020)
RR
Delaware(10/8/2020)
RR
District of Columbia(10/8/2020)
RR
Florida(10/8/2020)
RR
Georgia(10/8/2020)
RR
Hawaii(10/8/2020)
RR
Idaho(10/8/2020)
RR
Illinois(10/8/2020)
RR
Indiana(10/8/2020)
RR
Iowa(10/8/2020)
RR
Kansas(10/8/2020)
RR
Kentucky(10/8/2020)
RR
Louisiana(10/8/2020)
RR
Maine(10/8/2020)
RR
Maryland(10/8/2020)
RR
Massachusetts(10/8/2020)
RR
Michigan(10/8/2020)
RR
Minnesota(10/8/2020)
RR
Mississippi(10/8/2020)
RR
Missouri(10/8/2020)
RR
Montana(10/8/2020)
RR
Nebraska(10/8/2020)
RR
Nevada(10/8/2020)
RR
New Hampshire(10/8/2020)
RR
New Jersey(10/8/2020)
RR
New Mexico(10/8/2020)
RR
New York(11/20/2018)
RR
North Carolina(10/8/2020)
RR
North Dakota(10/8/2020)
RR
Ohio(10/8/2020)
RR
Oklahoma(10/8/2020)
RR
Oregon(10/8/2020)
RR
Pennsylvania(10/8/2020)
RR
Puerto Rico(10/8/2020)
RR
Rhode Island(10/8/2020)
RR
South Carolina(10/8/2020)
RR
South Dakota(10/8/2020)
RR
Tennessee(10/8/2020)
RR
Texas(10/8/2020)
RR
Utah(10/8/2020)
RR
Vermont(10/8/2020)
RR
Virgin Islands(10/8/2020)
RR
Virginia(10/8/2020)
RR
Washington(10/8/2020)
RR
West Virginia(10/8/2020)
RR
Wisconsin(10/8/2020)
RR
Wyoming(10/8/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
