Richard G. Vaccaro
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 Glen Vaccaro, who also goes by Richard G Vaccaro, Richard Vaccaro, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2013 - February 6, 2015
SMH CAPITAL INVESTMENTS LLC
July 29, 2011 - November 1, 2011
WALL STREET FINANCIAL GROUP, INC.
July 29, 2011 - November 1, 2011
WALL STREET FINANCIAL GROUP, INC.
September 30, 2009 - August 1, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
September 30, 2009 - August 1, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
December 16, 2008 - October 7, 2009
WADDELL & REED
December 1, 2008 - October 7, 2009
WADDELL & REED
September 13, 2005 - December 4, 2008
WESTPORT RESOURCES MANAGEMENT INC
January 8, 1999 - December 4, 2008
SMH CAPITAL INVESTMENTS LLC
March 15, 1998 - February 8, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 15, 1998 - February 8, 1999
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SMH CAPITAL INVESTMENTS LLC
CRD#: 24535 / SEC#: , 8-40904
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOYERS ORGANIZATION LLC | OWNER | |
| MOYERS, DWAYNE ALAN | CEO/CCO/FINOP | 1850654 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
