Richard A. Rosker
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 Alan Rosker, who also goes by Rick Rosker, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 41, PC, Series 000, Series 1, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2008 - December 13, 2016
DRIVEWEALTH INSTITUTIONAL LLC
July 1, 2003 - November 16, 2007
WELLS FARGO SECURITIES, LLC
June 1, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 16, 1996 - June 1, 2000
FORUM CAPITAL MARKETS LLC
March 10, 1992 - July 25, 1996
CIBC WORLD MARKETS CORP.
January 30, 1989 - March 2, 1992
AMCO SECURITIES INC.
November 11, 1982 - November 15, 1991
AMSTER & CO.
July 21, 1977 - September 18, 1981
CITIGROUP GLOBAL MARKETS INC.
July 29, 1975 - May 20, 1977
MORGAN STANLEY & CO., INCORPORATED
October 18, 1971 - August 31, 1975
SALOMON BROTHERS 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 55
Date: 5/17/1999
Limited Representative-Equity Trader ExamSeries 41
Date: 11/21/1981
NYSE Allied Member ExaminationPC
Date: 9/12/1977
AMEX Put and Call ExamSeries 000
Date: 10/14/1971
General Securities Principal ExaminationSeries 1
Date: 10/14/1971
Registered Representative ExaminationCurrent Firm
DRIVEWEALTH INSTITUTIONAL LLC
CRD#: 33038 / SEC#: , 8-31461
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | CHIEF OPERATING OFFICER | 2262100 |
| MADARASZ, RONALD JOHN | SENIOR MANAGER, INSTITUTIONAL SALES & TRADING | 1769473 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
| TZANETEAS, ALEC MICHAEL | CHIEF COMPLIANCE OFFICER | 6983736 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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