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RB

Richard J. Brophy

MERIDIAN EQUITY PARTNERS
NEW YORK, NY 10038
CRD#: 2869117
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RB
Richard Joseph BrophyMERIDIAN EQUITY PARTNERS

Professional summary

Richard Joseph Brophy is a registered financial professional currently at MERIDIAN EQUITY PARTNERS, INC. located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 25 and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Joseph Brophy'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

March 28, 2011 - Present

MERIDIAN EQUITY PARTNERS, INC.

Office #1: C/o Accounting & Compliance International 199 Water St 9th Fl, New York, NY, 10038
BD
CRD#: 133849
NEW YORK, NY
Past

April 15, 2010 - March 28, 2011

MND PARTNERS, INC.

BD
CRD#: 131833
NEW YORK, NY
Past

January 4, 2010 - April 7, 2010

KABRIK TRADING LLC

BD
CRD#: 104460
NEW YORK, NY
Past

April 10, 2001 - January 5, 2010

CAPIS

BD
CRD#: 7551
DALLAS, TX
Past

December 7, 2000 - April 16, 2001

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

September 11, 2000 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

BD
CRD#: 1232
NEW YORK, NY
Past

February 13, 1998 - May 30, 2000

ROSENBLATT SECURITIES INC.

BD
CRD#: 18377
NEW YORK, NY

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
New York
(3/28/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 5/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/5/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 3/13/2000
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

ME
MERIDIAN EQUITY PARTNERS, INC.
MERIDIAN EQUITY PARTNERS, INC.

CRD#: 133849 / SEC#: , 8-66784

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

Main Address
C/o Accounting & Compliance International 199 Water St 9th Fl, New York, NY, 10038
Mailing Address
C/o Accounting & Compliance International 199 Water St 9th Fl, New York, NY, 10038
Phone number
(212) 742-8472
Established
New York since 11/26/2004
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ACQUAFREDDA, JONATHAN MICHAELSECRETARY/DIR2502343
CORPINA, JONATHAN DOUGLASCEO/PRESIDENT/TREAS/DIR2575529
LYTLE, COLUMB PATRICKVP/DIR/CFO/COO/CCO/PFO/POO2810260

Disclosures

Regulatory Event2

Red Flags

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Company Information

MERIDIAN EQUITY PARTNERS, INC.

CRD#: 133849New York, NY 10038

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