Richard A. Ferazi
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 Anthony Ferazi, who also goes by Rick Ferazi, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2005 - September 7, 2018
GEOFFREY RICHARDS SECURITIES CORP.
September 3, 2003 - March 4, 2019
GEOFFREY RICHARDS SECURITIES CORP.
February 8, 2002 - September 11, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 13, 2001 - February 14, 2002
DEUTSCHE BANK SECURITIES INC.
June 29, 2000 - January 13, 2001
DB ALEX. BROWN LLC
May 8, 1998 - June 30, 2000
PRUDENTIAL EQUITY GROUP, LLC
August 5, 1997 - April 21, 1998
ATLAS SECURITIES, LLC
August 9, 1996 - March 5, 1997
METROPOLITAN LIFE INSURANCE COMPANY
August 9, 1996 - March 5, 1997
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GEOFFREY RICHARDS SECURITIES CORP.
CRD#: 120007 / SEC#: , 8-65251
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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