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Richard P. Pascucci

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CRD#: 4819805
RP

Professional summary

Richard Peter Pascucci was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Richard had worked at 3 firms, which includes SECURITIES AMERICA INC., BANC OF AMERICA INVESTMENT SERVICES INC., MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Pascucci

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

August 29, 2008 - July 22, 2010

SECURITIES AMERICA, INC.

BD
CRD#: 10205
HAMBURG, NY
Past

April 4, 2007 - September 8, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BUFFALO, NY
Past

November 25, 2005 - September 8, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BUFFALO, NY
Past

October 1, 2004 - November 23, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
IAR
Series 66
Date: 3/7/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 1/27/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/2004
General Securities Representative Examination

Current Firm

SA
SECURITIES AMERICA, INC.
SECURITIES AMERICA FINANCIAL SERVICES | WILLIAMS, WILD & LARSON SECURITIES, INC. | TYMAN SECURITIES, INC. | TMG SECURITIES, INC. | SECURITIES AMERICA, INC. | SECURITIES AMERICA WEALTH MANAGEMENT GROUP

CRD#: 10205 / SEC#: , 8-26602

BD
Terminated by SEC on 08/17/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/08/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITIES AMERICA FINANCIAL CORP.SHAREHOLDER
CHAFFEE, HAROLD GERARDVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2905661
CORNICK, GREGORY ALLENDIRECTOR3132991
FORD, ERINN JUNEINTERIM PRESIDENT, DIRECTOR AND CEO2176816
GERB, JASON HARRISSVP, CHIEF REGULATORY OFFICER3021815
HULETT, KIRK JESSEEXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR2528380
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, DIRECTOR2627931
SCHMIDT, DAVID MARTINTREASURER, FINANCIAL AND OPERATIONS PRINCIPAL5675524

Disclosures

Regulatory Event58
Arbitration27
Bond5

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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Company Information

SECURITIES AMERICA, INC.

CRD#: 10205

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