Richard P. Rovetto
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 Phillip Rovetto, who also goes by Richard Philip Rovetto, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 15, PC, Series 1, Series 4, Series 53, Series 24, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2009 - July 16, 2020
PWMCO, LLC
September 26, 1978 - November 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 12/6/1989
Foreign Currency Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 10/4/1972
Registered Representative ExaminationSeries 40
Date: 4/13/1977
Registered Principal ExaminationSeries 12
Date: 1/20/1977
NYSE Branch Manager ExaminationCurrent Firm
PWMCO, LLC
CRD#: 8485 / SEC#: 801-62143, 8-25572
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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