RP
Richard A. Parisi
INTESA SANPAOLO IMI SECURITIES
NEW YORK, NY 10004
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CRD#: 4668388
RP
Professional summary
Richard Anthony Parisi is a registered financial professional currently at INTESA SANPAOLO IMI SECURITIES CORP. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2013. Richard has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Anthony Parisi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 26, 2013 - Present
INTESA SANPAOLO IMI SECURITIES CORP.
Office #1: 1 William Street, New York, NY 10004BD
CRD#: 19418
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/28/2013)
RR
Colorado(8/26/2013)
RR
Connecticut(10/28/2013)
RR
District of Columbia(8/26/2013)
RR
Florida(8/26/2013)
RR
Georgia(10/28/2013)
RR
Illinois(10/28/2013)
RR
Iowa(10/28/2013)
RR
Maryland(8/26/2013)
RR
Massachusetts(10/28/2013)
RR
Minnesota(10/28/2013)
RR
Missouri(10/28/2013)
RR
Nevada(10/28/2013)
RR
New Hampshire(10/28/2013)
RR
New Jersey(8/26/2013)
RR
New York(10/28/2013)
RR
North Carolina(12/24/2019)
RR
Pennsylvania(10/28/2013)
RR
Texas(10/28/2013)
RR
Washington(10/28/2013)
RR
Wisconsin(10/28/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
IS
INTESA SANPAOLO IMI SECURITIES CORP.
BANCA IMI SECURITIES CORP. | INTESA SANPAOLO IMI SECURITIES CORP. | IMI SECURITIES CORPORATION | EURAM SECURITIES CORPORATION
CRD#: 19418 / SEC#: , 8-37444
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 William Street, New York, NY 10004
Mailing Address
1 William Street, New York, NY 10004
Phone number
(212) 326-1100
Established
Delaware since 12/01/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IMI CAPITAL MARKETS USA CORPORATION | SOLE SHAREHOLDER | |
| AMOROSO, PAOLO GLAUCO | CORPORATE SECRETARY | 7870609 |
| BURIOLI, NOVELLA | DIRECTOR | 7874990 |
| DIBELLA, VINCENT | CHIEF FINANCIAL OFFICER/ TREASURER | 2587408 |
| LUCCHINI, STEFANO | DIRECTOR | 7889772 |
| MARRAS, STEFANO | CEO/DIRECTOR | 7322813 |
| PARISI, RICHARD ANTHONY | CHIEF OPERATIONS OFFICER | 4668388 |
| RUIZ, JEFFREY A | CHIEF COMPLIANCE OFFICER | 2562825 |
| SEGNI, LAURA | DIRECTOR | 7890924 |
Disclosures
| Regulatory Event | 11 |
| Criminal | 1 |
| Civil Event | 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.
