AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RT

Richard J. Todisco

Some features on this profile are disabled
CRD#: 447599
RT

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 John Todisco was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 12 firms and has passed the Series 63, Series 5, Series 000 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 15, 1998 - October 5, 2001

SANDLER, O'NEILL & PARTNERS, L.P.

BD
CRD#: 23328
NEW YORK, NY
Past

May 3, 1996 - July 7, 1998

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

February 22, 1993 - April 19, 1996

T.R. WINSTON & COMPANY, LLC

BD
CRD#: 10571
BEDMINSTER, NJ
Past

August 29, 1989 - February 12, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 11, 1988 - September 6, 1989

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

March 31, 1986 - January 12, 1988

BEURET & COMPANY, LTD.

BD
CRD#: 16198
Past

August 23, 1983 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

August 2, 1983 - March 11, 1985

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

February 29, 1980 - August 11, 1983

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Past

February 22, 1978 - March 9, 1980

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

August 21, 1975 - February 22, 1978

LEHMAN BROTHERS INCORPORATED

BD
CRD#: 514
Past

September 11, 1968 - October 26, 1975

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

September 9, 1968 - April 3, 1986

D. H. BLAIR & CO., INC.

BD
CRD#: 6833

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 3/16/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 000
Date: 9/9/1968
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 9/9/1968
Registered Representative Examination

Current Firm

SO
SANDLER, O'NEILL & PARTNERS, L.P.
SANDLER, O'NEILL & PARTNERS, L.P.

CRD#: 23328 / SEC#: , 8-40214

BD
Terminated by SEC on 05/04/2020
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/18/1988
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PIPER SANDLER COMPANIESPARENT
DELLAPIETRA, MAY FRANCESCFO, DIR AND TREASURER OF GENERAL PARTNER, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER707188
HOOPER, CHRISTOPHER STEPHEN MR.VP AND DIR OF GENERAL PARTNER; GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER4828924

Disclosures

Regulatory Event8

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.

Company Information

SANDLER, O'NEILL & PARTNERS, L.P.

CRD#: 23328

TRUST BUT VERIFY

Monitor Richard Todisco

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.