Richard Louis Taiano
Professional Summary
Richard Louis Taiano, who also goes by Richard L Taiano, Rick Taiano, is a registered financial advisor currently at NABSECURITIES, LLC located in New York, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 2020. Richard has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard L Taiano, Rick Taiano
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
7 years in the financial services industry
Current & Past Employments
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Current Firm
NABCAPITAL SECURITIES LLC | NATIONAL AUSTRALIA CAPITAL MARKETS, LLC | NABSECURITIES, LLC
Contact Information
Main Address
277 Park Avenue 19th Floor, New York, NY, 10172Mailing Address
277 Park Avenue 19th Floor, New York, NY, 10172Phone Number
(212) 916-9500Established
Delaware since 09/05/1998Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL AUSTRALIA BANK LIMITED | OWNER | — |
| ALLAN-SMITH, JOHN NEVILLE | DIRECTOR / CHAIRMAN OF THE BOARD | 8027334 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP & PFO | 2503352 |
| LESTER, MEREDITH | DIRECTOR | 7426691 |
| LYUBOMIRSKAYA, SVETLANA | DIRECTOR | 2793040 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
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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.
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State Registrations and Notice Filings
(6/13/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2020About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Louis Taiano's CRS (Customer Relationship Summary).
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