Nico J. Rutella
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nico Joseph Rutella, who also goes by Joseph Rutella, Nicholas Rutella, was a registered financial professional .
Nico is a previously registered financial professional and started their career in finance in 2012. Nico had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2018 - March 4, 2019
RICHFIELD ORION INTERNATIONAL, INC.
September 21, 2016 - July 2, 2018
JOSEPH STONE CAPITAL L.L.C.
August 20, 2013 - February 29, 2016
NATIONAL SECURITIES CORPORATION
July 30, 2013 - August 14, 2013
IFS SECURITIES
February 17, 2012 - July 31, 2013
CRAIG SCOTT CAPITAL, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RICHFIELD ORION INTERNATIONAL, INC.
CRD#: 24433 / SEC#: , 8-41166
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHFIELD ORION INTERNATIONAL, LLC | PARENT COMPANY | |
| STUART, JAMES BRETT | CEO,CFO,DIRECTOR, CCO | 3022149 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 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.
