Anthony M. Rico
Professional summary
Anthony Mark Rico, who also goes by Anthony Rico, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Newport Beach, California.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2005. Anthony has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Mark Rico's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2025 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 23 Corporate Plaza Drive Suite 150, Newport Beach, CA 92660September 17, 2024 - December 4, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 18, 2010 - January 28, 2011
QUEST CAPITAL STRATEGIES, INC.
November 18, 2008 - June 25, 2009
WORLD GROUP SECURITIES, INC.
June 19, 2006 - November 30, 2006
ETECH SECURITIES, INC.
October 18, 2005 - June 5, 2006
MORGAN STANLEY DW INC.
September 28, 2005 - June 5, 2006
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/6/2026)
(12/18/2025)
(1/13/2026)
(1/2/2026)
(1/2/2026)
(1/2/2026)
(1/2/2026)
Exams
Series 7TO
Date: 9/16/2024
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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