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RM

Richard J. Makarick

BLOOMBERG TRADEBOOK CANADA COMPANY
New York, NY 10022
Some features on this profile are disabled
CRD#: 2715233
RM

Professional summary

Richard John Makarick, who also goes by Richard John Makarick, Richard Makarick, is a registered financial professional currently at BLOOMBERG TRADEBOOK CANADA COMPANY located in New York, New York and BLOOMBERG TRADEBOOK LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard John Makarick | Richard Makarick

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) - BD

Click below to view Richard John Makarick'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®
None

Experience

Current

July 18, 2024 - Present

BLOOMBERG TRADEBOOK CANADA COMPANY

Office #1: 731 Lexington Ave, New York, NY 10022
BD
CRD#: 313267
New York, NY
Current

July 18, 2024 - Present

BLOOMBERG TRADEBOOK LLC

Office #1: 731 Lexington Ave, New York, NY 10022
BD
CRD#: 40881
New York, NY
Past

January 4, 2021 - June 26, 2024

MBS SOURCE ETRADING, INC.

BD
CRD#: 164958
MERCER ISLAND, WA
Past

April 18, 2017 - January 4, 2021

BONDS.COM LLC

BD
CRD#: 43875
NEW YORK, NY
Past

November 19, 2014 - November 10, 2016

VALLEY FINANCIAL MANAGEMENT, INC.

RIA
CRD#: 105387
NEW YORK, NY
Past

November 18, 2014 - November 10, 2016

VALLEY FINANCIAL MANAGEMENT, INC.

BD
CRD#: 105387
NEW YORK, NY
Past

January 27, 2014 - October 22, 2014

BROWNSTONE INVESTMENT GROUP, LLC

BD
CRD#: 43884
NEW YORK, NY
Past

August 9, 2013 - February 7, 2014

KGS-ALPHA CAPITAL MARKETS, L.P.

BD
CRD#: 151705
NEW YORK, NY
Past

August 6, 2012 - May 20, 2013

FIRST EMPIRE SECURITIES, INC.

BD
CRD#: 15129
HAUPPAUGE, NY
Past

April 30, 2008 - July 3, 2012

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
NEW YORK, NY
Past

January 11, 2008 - April 30, 2008

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

April 11, 2007 - November 1, 2007

BNY INVESTMENT CENTER INC.

RIA
CRD#: 47683
NEW YORK, NY
Past

April 10, 2007 - January 2, 2008

BNY INVESTMENT CENTER INC.

BD
CRD#: 47683
NEW YORK, NY
Past

January 6, 2006 - April 4, 2007

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
NEW YORK CITY, NY
Past

October 11, 2005 - December 31, 2005

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
NEW YORK CITY, NY
Past

March 22, 2005 - April 4, 2007

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
NEW YORK CITY, NY
Past

September 3, 2003 - February 28, 2005

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

August 14, 2002 - September 17, 2003

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
NEW YORK, NY
Past

January 3, 2002 - September 17, 2003

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

April 15, 1997 - December 17, 2001

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

May 6, 1996 - March 11, 1997

BRILL SECURITIES, INC.

BD
CRD#: 18565
NEW YORK, NY
Past

April 1, 1996 - April 24, 1996

PATTERSON TRAVIS, INC.

BD
CRD#: 16540
ENGLEWOOD, CO

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
(7/18/2024)
RR
Alaska
(7/18/2024)
RR
Arizona
(7/18/2024)
RR
Arkansas
(7/18/2024)
RR
California
(7/18/2024)
RR
Colorado
(7/18/2024)
RR
Connecticut
(7/18/2024)
RR
Delaware
(7/18/2024)
RR
District of Columbia
(7/18/2024)
RR
Florida
(7/18/2024)
RR
Georgia
(7/18/2024)
RR
Hawaii
(7/18/2024)
RR
Idaho
(7/18/2024)
RR
Illinois
(7/18/2024)
RR
Indiana
(7/18/2024)
RR
Iowa
(7/18/2024)
RR
Kansas
(7/18/2024)
RR
Kentucky
(7/18/2024)
RR
Louisiana
(7/18/2024)
RR
Maine
(7/18/2024)
RR
Maryland
(7/18/2024)
RR
Massachusetts
(7/18/2024)
RR
Michigan
(7/18/2024)
RR
Minnesota
(7/18/2024)
RR
Mississippi
(7/18/2024)
RR
Missouri
(7/18/2024)
RR
Montana
(7/18/2024)
RR
Nebraska
(7/18/2024)
RR
Nevada
(7/18/2024)
RR
New Hampshire
(7/18/2024)
RR
New Jersey
(7/18/2024)
RR
New Mexico
(7/18/2024)
RR
New York
(7/18/2024)
RR
North Carolina
(7/18/2024)
RR
North Dakota
(7/18/2024)
RR
Ohio
(7/19/2024)
RR
Oklahoma
(7/18/2024)
RR
Oregon
(7/18/2024)
RR
Pennsylvania
(7/18/2024)
RR
Puerto Rico
(7/18/2024)
RR
Rhode Island
(7/18/2024)
RR
South Carolina
(7/18/2024)
RR
South Dakota
(7/18/2024)
RR
Tennessee
(7/18/2024)
RR
Texas
(7/18/2024)
RR
Utah
(7/18/2024)
RR
Vermont
(7/18/2024)
RR
Virginia
(7/18/2024)
RR
Washington
(7/18/2024)
RR
West Virginia
(7/18/2024)
RR
Wisconsin
(7/18/2024)
RR
Wyoming
(7/18/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/26/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/18/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BT
BLOOMBERG TRADEBOOK LLC
BLOOMBERG TRADEBOOK | BLOOMBERG TRADEBROOK LLC | BLOOMBERG TRADEBOOK LLC

CRD#: 40881 / SEC#: , 8-49219

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
731 Lexington Ave, New York, NY 10022
Mailing Address
731 Lexington Ave, New York, NY 10022
Phone number
(212) 617-4865
Established
Delaware since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLOOMBERG L.P.MANAGING MEMBER
KLEINBAUER, DEREK JOSEFCEO/PRESIDENT7279271
MILHAM, CHRISTOPHER MICHAELCHIEF FINANCIAL OFFICER, PFO, POO3092157
ROTELA, DOUGLAS MARTINCHIEF COMPLIANCE OFFICER5127496

Disclosures

Regulatory Event9

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

BLOOMBERG TRADEBOOK LLC

CRD#: 40881New York, NY 10022

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