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Paul J. Rieger

RCM SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5862030
PR

Professional summary

Paul Joseph Rieger is a registered financial professional currently at RCM SECURITIES located in Chicago, Illinois.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2010. Paul has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Paul Joseph Rieger'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

February 21, 2018 - Present

RCM SECURITIES

Office #1: 318 W Adams St Floor 10, Chicago, IL 60606Office #2: 318 W Adams, Floor 10, Chicago, IL 60606
BD
CRD#: 15548
Chicago, IL
Past

June 7, 2013 - April 29, 2016

DAVIS SECURITIES LLC

BD
CRD#: 138829
NEW YORK, NY
Past

December 7, 2010 - December 6, 2011

MF GLOBAL INC.

BD
CRD#: 6731
CHICAGO, IL

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
Illinois
(9/17/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 3/14/2014
Uniform Securities Agent 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: 12/6/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RCM SECURITIES
CHANDER P. WADHWA | WADHWA, CHANDER P. | SNC CAPITAL MANGEMENT CORP. | SNC CAPITAL MANAGEMENT LLC | SNC CAPITAL MANAGEMENT CORP. | SNC CAPITAL MANAGEMENT CORP | RCM SECURITIES CORP | RCM SECURITIES

CRD#: 15548 / SEC#: , 8-33866

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

Main Address
318 W Adams St Floor 10, Chicago, IL 60606
Mailing Address
318 W Adams St Floor 10, Chicago, IL 60606
Phone number
31287011530
Established
Illinois since 01/21/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 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#
SWEENEY, EDMUND JOSEPHCCO4566276
SWEENEY, EDMUND JOSEPHCEO4566276
3PEAS LLCOWNER
NAVILLUS CAPITAL LLCOWNER
RIEGER, PAUL JOSEPHBROKER5862030
SULLIVAN, TAMMY NAUGHTONSECRETARY4653089

Disclosures

Regulatory Event4
Arbitration1

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

RCM SECURITIES

CRD#: 15548Chicago, IL 60606

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