Richard C. Rizzo
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 Cosmo Rizzo, who also goes by Richard C Rizzo, 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 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2021 - July 7, 2022
CROSS POINT CAPITAL LLC
September 1, 2018 - April 29, 2019
BMO CAPITAL MARKETS CORP.
May 4, 2015 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
May 16, 2005 - February 10, 2015
DEUTSCHE BANK SECURITIES INC.
October 26, 1998 - May 17, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CROSS POINT CAPITAL LLC
CRD#: 136223 / SEC#: , 8-66989
Contact information
FINRA licenses (17 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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