Richard A. Kerrigone
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 Austin Kerrigone was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 3 firms and has passed the Series 1 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
December 20, 1982 - December 21, 1998
WM. V. FRANKEL & CO., INCORPORATED
October 13, 1981 - December 10, 1982
TROSTER SINGER CORPORATION
January 6, 1978 - June 8, 1982
M. S. WIEN & CO., INC.
January 26, 1970 - February 6, 1978
WM. V. FRANKEL & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 1/19/1970
Registered Representative ExaminationSeries 00
Date: 10/30/1972
General Securities Principal ExaminationCurrent Firm
WM. V. FRANKEL & CO., INCORPORATED
CRD#: 1895 / SEC#: , 8-23175
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
Red Flags
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