Ria T. Nova

APOLLO GLOBAL SECURITIES

New York, NY 10019-2701

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CRD#: 3117377

Professional summary

Ria Therese Nova, who also goes by Ria Theresa Dimalanta, Ria Therese Dimalanta, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.

Ria is registered as a RR (Registered Representative) and started their career in finance in 1998. Ria has worked at 6 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ria Theresa Dimalanta | Ria Therese Dimalanta

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 Ria Therese Nova's CRS (Customer Relationship Summary).

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

June 22, 2022 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701

CRD#: 153502

New York, NY

Past

August 12, 2010 - December 31, 2014

NEUBERGER BERMAN ASIA LIMITED

RIA

CRD#: 154286

HONG KONG,

Past

December 10, 2008 - November 1, 2017

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

December 10, 2008 - November 1, 2017

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

November 9, 2005 - November 4, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

NEW YORK, NY

Past

June 23, 2003 - November 4, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 10, 2000 - June 29, 2001

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

June 19, 2000 - January 26, 2001

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

September 11, 1998 - February 25, 2000

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(4/24/2024)

Alaska
(4/24/2024)

Arizona
(4/24/2024)

Arkansas
(4/24/2024)

California
(4/24/2024)

Colorado
(4/24/2024)

Connecticut
(4/24/2024)

Delaware
(4/24/2024)

District of Columbia
(4/24/2024)

Florida
(4/24/2024)

Georgia
(4/24/2024)

Hawaii
(4/24/2024)

Idaho
(4/24/2024)

Illinois
(4/24/2024)

Indiana
(4/24/2024)

Iowa
(4/24/2024)

Kansas
(4/24/2024)

Kentucky
(4/24/2024)

Louisiana
(4/24/2024)

Maine
(4/24/2024)

Maryland
(4/24/2024)

Massachusetts
(4/24/2024)

Michigan
(4/24/2024)

Minnesota
(4/24/2024)

Mississippi
(4/24/2024)

Missouri
(4/24/2024)

Montana
(4/24/2024)

Nebraska
(4/24/2024)

Nevada
(4/24/2024)

New Hampshire
(4/24/2024)

New Jersey
(4/24/2024)

New Mexico
(4/24/2024)

New York
(12/21/2022)

North Carolina
(4/24/2024)

North Dakota
(4/24/2024)

Ohio
(4/25/2024)

Oklahoma
(4/24/2024)

Oregon
(4/24/2024)

Pennsylvania
(4/24/2024)

Puerto Rico
(4/24/2024)

Rhode Island
(4/24/2024)

South Carolina
(4/24/2024)

South Dakota
(4/24/2024)

Tennessee
(4/24/2024)

Texas
(4/24/2024)

Utah
(4/24/2024)

Vermont
(4/24/2024)

Virgin Islands
(4/24/2024)

Virginia
(4/24/2024)

Washington
(4/24/2024)

West Virginia
(4/24/2024)

Wisconsin
(4/24/2024)

Wyoming
(4/24/2024)

Exams

State Security Law Exam

Series 63

Date: 12/21/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/17/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 10/13/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/10/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

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

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Contact information

Main Address

9 West 57th Street, New York, NY 10019-2701

Mailing Address

9 West 57th Street, New York, NY 10019-2701

Phone number

(212) 515-3200

Established

Delaware since 03/11/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
APOLLO MANAGEMENT HOLDINGS, L.P.	MEMBER
CHATTERJEE, WHITNEY A	MEMBER BOARD OFMANAGERS	7874808
DRESCHER, STEPHANIE	HEAD OF MARKETING	3055145
LEVY, YAEL KENAN	CHIEF COMPLIANCE OFFICER	4435788
NEEDLEMAN, ERIC DAVID	PRESIDENT	2773431
TREBING, ADAM P	CFO / FINOP / PFO / POO	5828238
TREBING, ADAM P	MEMBER BOARD OF MANAGERS	5828238

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.

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Firm Stability Insights

Ria T. Nova

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ria Therese Nova's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUBERGER BERMAN ASIA LIMITED

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

ABN AMRO SECURITIES LLC

M&T SECURITIES, INC.

M&T SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/2022

Series 65

Date: 11/17/2003

Series 7

Date: 10/13/2003

Series 6

Date: 9/10/1998

Series 24

Date: 9/14/2022

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

APOLLO GLOBAL SECURITIES, LLC

TRUST BUT VERIFY

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