Richard A. Sorrentino
Professional summary
Richard Anthony Sorrentino is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Hazlet, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1969. Richard has worked at 20 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, Series 7TO, SIE, Series 55, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Anthony Sorrentino's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 30, 2021 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 12 Crown Plaza Suite 201, Hazlet, NJ 07730June 13, 2018 - February 17, 2020
PAULSON INVESTMENT COMPANY LLC
July 1, 2016 - January 17, 2018
CELADON FINANCIAL GROUP LLC
February 26, 2015 - July 7, 2016
BUCKMAN, BUCKMAN & REID, INC.
January 6, 2014 - June 24, 2014
BUCKMAN, BUCKMAN & REID, INC.
March 16, 2012 - December 20, 2013
CANACCORD GENUITY LLC
August 1, 2007 - January 23, 2013
CANACCORD GENUITY SECURITIES LLC
June 12, 2006 - January 3, 2007
COLLINS STEWART (SECURITIES) INC.
June 12, 2006 - January 15, 2008
COLLINS STEWART INC.
January 8, 2005 - December 5, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
March 18, 2003 - February 3, 2005
BURLINGTON CAPITAL MARKETS INC.
November 6, 2002 - March 21, 2003
RBC CAPITAL MARKETS, LLC
January 1, 1998 - March 21, 2003
RBC CAPITAL MARKETS CORPORATION
June 14, 1995 - November 25, 1997
GLEACHER & COMPANY SECURITIES, INC.
March 25, 1993 - March 15, 1995
CIBC WORLD MARKETS CORP.
April 21, 1992 - April 20, 1993
UBS FINANCIAL SERVICES INC.
March 14, 1990 - April 2, 1992
UBS SECURITIES LLC
January 6, 1977 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
September 30, 1975 - March 7, 1976
ALLEN & CO INC
June 24, 1972 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
November 20, 1969 - July 7, 1976
DOYLE, O'CONNOR & CO., 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
(1/30/2021)
(1/30/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 12/9/1999
Limited Representative-Equity Trader ExamPC
Date: 8/29/1977
AMEX Put and Call ExamSeries 1
Date: 11/17/1969
Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
