Patrick R. Trucchio

H.C.WAINWRIGHT & CO.

New York, NY 10022

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CRD#: 4866819

Professional summary

Patrick Ralph Trucchio is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2005. Patrick has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Patrick Ralph Trucchio'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

May 12, 2020 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022

CRD#: 375

New York, NY

Past

September 22, 2017 - May 6, 2020

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757

NEW YORK, NY

Past

October 29, 2015 - September 29, 2017

WELLS FARGO SECURITIES, LLC

CRD#: 126292

NEW YORK, NY

Past

August 6, 2007 - August 6, 2015

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

May 10, 2006 - August 7, 2007

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GARDEN CITY, NY

Past

January 12, 2005 - January 10, 2006

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

State Registrations and Notice Filings

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

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

New York
(5/12/2020)

Exams

State Security Law Exam

Series 63

Date: 1/21/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 10/1/2007

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 10/1/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 1/11/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

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

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Contact information

Main Address

430 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

430 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 356-0500

Established

Delaware since 04/10/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HCWHC INC	SHAREHOLDER
KAPLAN, MARK ELIOT	CEO	2618079
KIRSCH, KENNETH JOHN	CFO	1671480
KIRSCH, KENNETH JOHN	FINOP	1671480
SILVERA, EDWARD DAVID	CHIEF OPERATIONS OFFICER	6216348
YANOW, JONATHAN TODD	CHIEF COMPLIANCE OFFICER	6516303

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Patrick R. Trucchio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Ralph Trucchio's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERENBERG CAPITAL MARKETS LLC

WELLS FARGO SECURITIES, LLC

BMO CAPITAL MARKETS CORP.

FIDELITY BROKERAGE SERVICES LLC

JOSEPH STEVENS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/21/2005

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 86

Date: 10/1/2007

Series 87

Date: 10/1/2007

Series 7

Date: 1/11/2005

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

H.C.WAINWRIGHT & CO., LLC

TRUST BUT VERIFY

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