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JR

Jesse A. Richmand

OLD CITY SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4832026
JR

Professional summary

Jesse Alexander Richmand, who also goes by Jesse A Richmand, is a registered financial professional currently at OLD CITY SECURITIES LLC located in New York, New York.

Jesse is registered as a RR (Registered Representative) and started their career in finance in 2006. Jesse has worked at 7 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jesse A Richmand

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) - BD

Click below to view Jesse Alexander Richmand's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 4, 2018 - Present

OLD CITY SECURITIES LLC

Office #1: 589 Fifth Avenue 17th Floor, New York, NY, 10017
BD
CRD#: 171910
New York, NY
Past

March 14, 2016 - January 17, 2018

BLUE SAND SECURITIES LLC

BD
CRD#: 142976
KENSIGNTON, MD
Past

November 30, 2009 - January 6, 2011

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA
CRD#: 104525
GREENWICH, CT
Past

November 24, 2009 - January 6, 2011

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
GREENWICH, CT
Past

June 30, 2009 - November 24, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
NEW YORK, NY
Past

June 19, 2009 - November 24, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

June 1, 2009 - June 19, 2009

MORGAN STANLEY

RIA
CRD#: 149777
PURCHASE, NY
Past

June 1, 2009 - June 19, 2009

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
NEW YORK, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

November 28, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
JERSEY CITY, NJ
Past

October 12, 2006 - April 2, 2007

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.

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
(1/4/2018)
RR
Connecticut
(1/18/2018)
RR
Florida
(3/30/2018)
RR
Illinois
(2/27/2018)
RR
Massachusetts
(1/19/2018)
RR
Minnesota
(5/8/2018)
RR
New York
(5/7/2018)
RR
North Carolina
(5/8/2018)
RR
Pennsylvania
(1/23/2018)
RR
Rhode Island
(1/26/2018)
RR
Texas
(2/6/2018)
RR
Virginia
(2/2/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/21/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/21/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OLD CITY SECURITIES LLC
OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
589 Fifth Avenue Ph, New York, NY 10017
Mailing Address
445 Central Avenue, Suite 328, Cedarhurst, NY 11516
Phone number
(212) 671-1976
Established
New York since 04/25/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OLD CITY SECURITIES HOLDINGS GPHOLDING COMPANY
BARNETT, TREVOR CLARKMEMBER4722196
DAMSKI, SETH ADAMFOUNDING MEMBER2940303
FELDMAN, EYTAN DOVMEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR5708084
MARRONE, MICHAEL THOMASFINOP
SIRIGNANO, GEORGE AMERICUSMANAGING MEMBER6678999

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

OLD CITY SECURITIES LLC

CRD#: 171910New York, NY 10017

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