Richard Diarenzo
Professional summary
Richard Diarenzo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Richard had worked at 5 firms, which includes COHEN & COMPANY SECURITIES LLC, COHEN & COMPANY CAPITAL MARKETS LLC, RAIT SECURITIES LLC, JANNEY MONTGOMERY SCOTT LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2012 - January 20, 2023
COHEN & COMPANY SECURITIES, LLC
September 20, 2010 - February 17, 2012
COHEN & COMPANY CAPITAL MARKETS, LLC
February 15, 2006 - October 4, 2007
RAIT SECURITIES, LLC
October 26, 2001 - April 27, 2012
COHEN & COMPANY SECURITIES, LLC
March 19, 1999 - February 24, 2000
JANNEY MONTGOMERY SCOTT LLC
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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