Richard J. Fusaro
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 Joseph Fusaro, who also goes by Rich Joseph Fusaro, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2013 - February 4, 2014
DAVID LERNER ASSOCIATES, INC.
October 15, 2012 - June 28, 2013
HILLTOP SECURITIES INC.
May 2, 2011 - July 27, 2012
ADVISORS ASSET MANAGEMENT, INC.
October 31, 2008 - November 4, 2010
FIRST MIDWEST SECURITIES, INC.
June 13, 2008 - November 21, 2008
AMERICA'S CHOICE EQUITIES LLC
July 28, 2005 - July 7, 2006
ADVISORS ASSET MANAGEMENT, INC.
May 9, 2001 - July 7, 2006
ADVISORS ASSET MANAGEMENT, INC.
April 13, 2000 - January 4, 2001
JOSEPH GUNNAR & CO. LLC
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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
