Richard A. Pascale
Professional summary
Richard A Pascale, who also goes by Richard Pascale, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Massapequa Park, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard A Pascale's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard A Pascale's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2021 - Present
LIFEMARK SECURITIES CORP.
February 18, 2005 - Present
LIFEMARK SECURITIES CORP.
December 13, 2001 - February 17, 2005
HORNOR, TOWNSEND & KENT, LLC
December 13, 2001 - February 17, 2005
HORNOR, TOWNSEND & KENT, LLC
September 28, 2000 - January 8, 2002
1717 CAPITAL MANAGEMENT COMPANY
June 17, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 17, 1999 - October 5, 2000
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/18/2018)
(12/12/2024)
(1/3/2019)
(2/18/2005)
(2/18/2005)
(8/23/2021)
(2/18/2005)
(9/8/2021)
(5/12/2014)
(5/3/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
