Howard A. Risick
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.
Howard A Risick, who also goes by Howard Risick, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1971. Howard had worked at 12 firms and has passed the Series 63, PC 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
October 10, 2005 - October 19, 2012
DEUTSCHE BANK SECURITIES INC.
October 7, 2005 - October 19, 2012
DEUTSCHE BANK SECURITIES INC.
May 10, 1999 - October 12, 2005
LEGG MASON WOOD WALKER, INCORPORATED
May 10, 1999 - October 12, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 28, 1995 - June 3, 1999
UBS FINANCIAL SERVICES INC.
February 7, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
October 1, 1985 - February 10, 1994
GRUNTAL & CO., L.L.C.
September 5, 1984 - October 1, 1985
JII SECURITIES INC.
June 12, 1979 - September 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1977 - May 28, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
August 21, 1972 - February 27, 1976
BACHE & CO., INCORPORATED
November 22, 1971 - August 20, 1972
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 11/18/1971
Registered Representative ExaminationCurrent Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
