Richard P. Petrone
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 Patrick Petrone, who also goes by Richard P Petrone, Richard Patrick Petrone, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2008 - June 18, 2012
RUSHMORE CAPITAL, INC.
August 13, 2004 - May 21, 2008
RUSHMORE CAPITAL, INC.
June 18, 2004 - June 30, 2011
DOMESTIC SECURITIES, INC.
October 10, 2003 - March 31, 2004
PSG EXECUTIONS, INC.
May 25, 1989 - October 20, 2003
UBS CAPITAL MARKETS L.P.
December 2, 1988 - June 19, 1989
MINELLA, RICH & CO., INC.
October 31, 1984 - November 18, 1988
DEUTSCHE IXE, LLC
July 9, 1981 - October 24, 1984
UBS CAPITAL MARKETS L.P.
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 55
Date: 10/14/1998
Limited Representative-Equity Trader ExamCurrent Firm
RUSHMORE CAPITAL, INC.
CRD#: 5940 / SEC#: , 8-16655
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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