Richard J. Crescenzo

SEAPORT GLOBAL SECURITIES LLC

New York, NY 10017

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CRD#: 715578

Professional summary

Richard John Crescenzo is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1981. Richard has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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 Richard John Crescenzo'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 3, 2014 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 360 Madison Ave 22nd Floor, New York, NY 10017Office #2: 222 Clematis St Suite 200, West Palm Beach, FL 33401

CRD#: 116270

New York, NY

Past

July 19, 2012 - January 31, 2014

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

NEW YORK, NY

Past

June 10, 2008 - August 14, 2012

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

August 26, 1999 - June 11, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 26, 1994 - September 3, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 13, 1989 - January 24, 1994

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 25, 1987 - February 2, 1989

MORGAN STANLEY MARKET PRODUCTS INC.

CRD#: 19794

Past

April 18, 1985 - February 2, 1989

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

June 5, 1981 - March 27, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(2/3/2014)

Alaska
(2/3/2014)

Arizona
(2/3/2014)

Arkansas
(2/3/2014)

California
(2/3/2014)

Colorado
(2/3/2014)

Connecticut
(2/3/2014)

Delaware
(2/3/2014)

District of Columbia
(2/3/2014)

Florida
(2/3/2014)

Georgia
(2/3/2014)

Hawaii
(2/3/2014)

Idaho
(2/3/2014)

Illinois
(2/3/2014)

Indiana
(2/3/2014)

Iowa
(2/3/2014)

Kansas
(2/3/2014)

Kentucky
(2/3/2014)

Louisiana
(2/3/2014)

Maine
(2/3/2014)

Maryland
(2/3/2014)

Massachusetts
(2/3/2014)

Michigan
(2/3/2014)

Minnesota
(2/3/2014)

Mississippi
(2/3/2014)

Missouri
(2/3/2014)

Montana
(2/3/2014)

Nebraska
(2/3/2014)

Nevada
(2/3/2014)

New Hampshire
(2/3/2014)

New Jersey
(2/3/2014)

New Mexico
(2/3/2014)

New York
(2/3/2014)

North Carolina
(2/3/2014)

North Dakota
(2/3/2014)

Ohio
(2/3/2014)

Oklahoma
(2/3/2014)

Oregon
(2/3/2014)

Pennsylvania
(2/3/2014)

Rhode Island
(2/3/2014)

South Carolina
(2/3/2014)

South Dakota
(2/3/2014)

Tennessee
(2/3/2014)

Texas
(2/3/2014)

Utah
(2/3/2014)

Vermont
(2/3/2014)

Virginia
(2/3/2014)

Washington
(2/3/2014)

West Virginia
(2/3/2014)

Wisconsin
(2/3/2014)

Wyoming
(2/3/2014)

Exams

State Security Law Exam

Series 63

Date: 12/7/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/25/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 5/14/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

360 Madison Ave 22nd Floor, New York, NY 10017

Mailing Address

360 Madison Ave 22nd Floor, New York, NY 10017

Phone number

(212) 616-7700

Established

Delaware since 05/04/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SEAPORT GLOBAL HOLDINGS LLC	PARENT COMPANY
MEAGHER, MICHAEL JEFFERSON	CEO	1755168
MEYER, MICHAEL JOHN	FIXED INCOME TRADING SUPERVISOR	1746788
SMITH, STEPHEN CORCORAN	TREASURER	1248750
WITTHAUT, MARKUS CLEMENS	FINOP/CCO/CFO/PFO	4480831

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Richard J. Crescenzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard John Crescenzo's CRS (Customer Relationship Summary).

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

GLEACHER & COMPANY SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY MARKET PRODUCTS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/1990

SIE

Date: 10/1/2018

Series 3

Date: 4/25/1985

Series 7

Date: 9/20/1980

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 5/14/1997

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

SEAPORT GLOBAL SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SEAPORT GLOBAL SECURITIES LLC

TRUST BUT VERIFY

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