Richard J. Alderman
Professional summary
Richard Joseph Alderman JR 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 1998. Prior to being barred, Richard had worked at 5 firms, which includes NATCITY INVESTMENTS INC., BROKERSXPRESS LLC, CUTTER & COMPANY INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FEDERATED SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2005 - December 13, 2005
NATCITY INVESTMENTS, INC.
January 5, 2005 - April 24, 2006
BROKERSXPRESS LLC
July 25, 2003 - December 31, 2004
CUTTER & COMPANY, INC.
October 6, 2000 - April 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 1998 - September 8, 1998
FEDERATED SECURITIES CORP.
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
NATCITY INVESTMENTS, INC.
CRD#: 17490 / SEC#: , 8-35288
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PNC FINANCIAL SERVICES GROUP, INC. | PARENT | |
| FABRIZI, SILVIO PAUL | CHIEF COMPLIANCE OFFICER | 4321545 |
| MCLAUGHLIN, CHARLOTTE BEHM | PRESIDENT AND CHIEF EXECUTIVE OFFICER - CAPITAL MARKETS | 2849217 |
| SINGER, DOUGLAS LAWRENCE | PRESIDENT AND CHIEF EXECUTIVE OFFICER - RETAIL | 1721973 |
| SUHANIC, JEFFREY DREW | SENIOR VICE PRESIDENT, DIRECTOR | 2124910 |
| TANNER, LEONARD EUGENE | VICE CHAIRMAN | 442470 |
| WILSON, CHARLENE FAITH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, AND TREASURER | 1935747 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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