Martim Ricciardi
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.
Martim Ricciardi, who also goes by Martim G.s. Ricciardi, was a registered financial professional .
Martim is a previously registered financial professional and started their career in finance in 2012. Martim had worked at 2 firms and has passed the SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2016 - October 27, 2016
HAITONG SECURITIES USA LLC
May 28, 2012 - September 5, 2014
BRICKELL GLOBAL MARKETS, 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
HAITONG SECURITIES USA LLC
CRD#: 281918 / SEC#: , 8-69694
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER | 1554301 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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