Richard J. Giarrusso
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 Joseph Giarrusso, who also goes by Rich Giarrusso Jr, Rich Giarrusso, Richard J (jr) Giarrusso, Richard Joseph Giarrusso, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2012 - December 31, 2012
QUASAR DISTRIBUTORS, LLC
June 1, 2009 - April 24, 2012
MORGAN STANLEY
June 1, 2009 - April 24, 2012
MORGAN STANLEY
December 2, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 2, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 20, 2003 - December 8, 2005
RBC CAPITAL MARKETS, LLC
December 3, 2002 - December 8, 2005
RBC CAPITAL MARKETS, LLC
October 26, 1998 - March 20, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
