Rick M. Alfano
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.
Rick Michael Alfano was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1999. Rick had worked at 12 firms and has passed the Series 25 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - November 30, 2012
W.A. CAPITAL MARKETS
April 20, 2010 - August 1, 2011
DENTE & BOMBA, LLC
January 6, 2010 - April 19, 2010
WALTER J. DOWD, INC.
May 18, 2007 - February 5, 2010
TAG SECURITIES CORP.
June 28, 2005 - May 22, 2007
ALFANO, PATRICK MICHAEL
March 28, 2005 - July 5, 2005
JAMES ROBERT BURKE
July 14, 2004 - March 31, 2005
SDS SECURITIES CORP.
October 29, 2003 - June 14, 2004
OSCAR GRUSS & SON INCORPORATED
June 24, 2003 - November 20, 2003
MARQUIS HOLDINGS, INC.
October 22, 2002 - June 19, 2003
JOHN N. SEIP & CO., INC.
January 17, 2002 - October 8, 2002
TOMEX INC.
March 7, 2001 - January 17, 2002
MOORS & CABOT, INC.
September 9, 1999 - January 23, 2001
MOORS & CABOT, 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 25
Date: 11/18/1999
NYSE Trading Assistant ExaminationCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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