Gerard N. Risi
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.
Gerard Nunzio Risi, who also goes by Gerry Risi, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 2002. Gerard had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2004 - July 8, 2024
MULTI-BANK SECURITIES, INC.
April 15, 2003 - February 10, 2004
AK CAPITAL LLC
October 2, 2002 - April 17, 2003
HANOVER CAPITAL SECURITIES 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 1
Date: 10/5/1972
Registered Representative ExaminationCurrent Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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