Richard J. Mahoney
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 Mahoney, CFP®, who also goes by Richard James Mahoney, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1950. Richard had worked at 10 firms and has passed the Series 63, Series 57TO, SIE and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2019
Experience
November 5, 2019 - April 24, 2024
SIEBERT WILLIAMS SHANK & CO., LLC
June 26, 2009 - November 5, 2019
THE WILLIAMS CAPITAL GROUP, L.P.
November 7, 1997 - June 29, 2009
DOMINARI SECURITIES LLC
March 15, 1995 - July 17, 1995
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
January 13, 1992 - January 23, 1995
THE CHICAGO CORPORATION
June 25, 1990 - December 12, 1991
RODMAN & RENSHAW INC.
April 23, 1990 - July 18, 1990
PHOENIX CAPITAL MARKETS, INC.
April 1, 1982 - April 5, 1990
JEFFERIES LLC
July 25, 1979 - March 23, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 1950 - July 18, 1975
ALDEN & MAHONEY, INC.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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