Richard L. Perna
Professional summary
Richard Lawrence Perna, who also goes by Rick Perna, is a registered financial professional currently at FOUR POINTS CAPITAL PARTNERS LLC located in East Amherst, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 4 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Lawrence Perna's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2018 - Present
FOUR POINTS CAPITAL PARTNERS LLC
February 12, 2015 - February 26, 2018
RAINMAKER SECURITIES, LLC
May 29, 2007 - September 18, 2014
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - September 18, 2014
CITIGROUP GLOBAL MARKETS INC.
April 18, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 18, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/13/2022)
(2/27/2018)
(11/7/2024)
(2/27/2018)
(10/22/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FOUR POINTS CAPITAL PARTNERS LLC
CRD#: 43149 / SEC#: , 8-50162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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