Richard J. Deagazio
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.
Richard Joseph Deagazio was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 6 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2013 - December 5, 2013
CABOT LODGE SECURITIES LLC
January 27, 2010 - May 3, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
October 4, 1984 - October 27, 2008
BOSTON CAPITAL SECURITIES, INC.
July 15, 1983 - November 10, 1986
EXCHANGE SECURITIES, INC.
June 10, 1983 - November 10, 1986
XC, INC.
May 28, 1969 - June 12, 1981
DRESDNER SECURITIES (USA) 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
Series 1
Date: 10/3/1967
Registered Representative ExaminationSeries 00
Date: 12/19/1972
General Securities Principal ExaminationCurrent Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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