Richard V. Minichino
Professional summary
Richard Vincent Minichino 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 professional and started their career in finance in 2010. Prior to being barred, Richard had worked at 5 firms, which includes NEXT FINANCIAL GROUP INC., B. RILEY WEALTH MANAGEMENT, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., DAVID LERNER ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2016 - February 16, 2018
NEXT FINANCIAL GROUP, INC.
February 18, 2016 - February 16, 2018
NEXT FINANCIAL GROUP, INC.
September 10, 2014 - February 24, 2016
B. RILEY WEALTH MANAGEMENT
September 10, 2014 - February 24, 2016
B. RILEY WEALTH MANAGEMENT
October 1, 2012 - August 22, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 22, 2014
J.P. MORGAN SECURITIES LLC
September 27, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 20, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 15, 2010 - September 16, 2011
DAVID LERNER ASSOCIATES, 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
Exams
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
