ER
Edward J. Rappa
R.W.PRESSPRICH & CO.
New York, NY 10022
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CRD#: 371101
ER
Professional summary
Edward Joseph Rappa is a registered financial professional currently at R.W.PRESSPRICH & CO. located in New York, New York.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1972. Edward has worked at 4 firms and has passed the Series 79TO, Series 72, Series 7TO, Series 99TO, SIE, Series 41, Series 1, Series 24 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Edward Joseph Rappa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 8, 1990 - Present
R.W.PRESSPRICH & CO.
Office #1: 445 Park Avenue Suite 16d, New York, NY 10022Office #2: 445 Park Avenue Suite 16d, New York, NY 10022RIA
BD
CRD#: 26460
New York, NY
Past
April 6, 1989 - March 9, 1990
INSTITUTIONAL DIRECT INC.
BD
CRD#: 23019
NEW YORK, NY
Past
March 16, 1978 - August 23, 1990
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
August 1, 1972 - January 14, 1978
R. W. PRESSPRICH & CO. INCORPORATED
BD
CRD#: 697
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(12/9/1992)
Exams
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 41
Date: 7/24/1975
NYSE Allied Member ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 7/31/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 4/25/1974
General Securities Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
R&
R.W.PRESSPRICH & CO.
E.J.R. SECURITIES GROUP, LTD. | R.W.PRESSPRICH & CO. | R. W. PRESSPRICH & CO., INC. | PRESSPRICH ADVISORY
CRD#: 26460 / SEC#: , 8-42547
New York
Registered Investment Advisory firm - SEC (1/31/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
445 Park Avenue Suite 16d, New York, NY 10022
Mailing Address
445 Park Avenue Suite 16d, New York, NY 10022
Phone number
(212) 832-6200
Established
Delaware since 02/12/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
1
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| CAUMARTIN, RENAUD PHILIPPE | SENIOR MANAGING DIRECTOR | 3266876 |
| MILSTEIN, LAWRENCE JOSHUA | DIRECTOR (06/2009) AND SENIOR MANAGING DIRECTOR (10/2018) | 2279858 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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