Richard A. Ceglio
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 Anthony Ceglio, who also goes by Richard A Ceglio, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2007. Richard had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2011 - June 26, 2013
SETON SECURITIES GROUP, INC.
February 23, 2011 - November 30, 2011
DIMENSION TRADING GROUP, LLC
May 12, 2010 - November 30, 2011
DIMENSION SECURITIES, LLC
July 13, 2007 - January 27, 2009
DIMENSION BROKERAGE, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SETON SECURITIES GROUP, INC.
CRD#: 18044 / SEC#: , 8-36105
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
Red Flags
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