AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RH

Richard R. Holley

CASTLEOAK SECURITIES, LP
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 7315076
RH

Professional summary

Richard R Holley, who also goes by Richard R Holley, Robbie Holley, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2020. Richard has worked at 2 firms and has passed the Series 63, Series 79TO, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard R Holley | Robbie Holley

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 R Holley's 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

May 2, 2022 - Present

CASTLEOAK SECURITIES, LP

Office #1: 200 Vesey Street Fl 04, New York, NY 10281
BD
CRD#: 125334
NEW YORK, NY
Past

December 18, 2020 - April 20, 2022

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
ATLANTA, GA

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
New York
(5/2/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/16/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/18/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/2/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CASTLEOAK SECURITIES, LP
BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 Vesey Street Fl 04, New York, NY 10281
Mailing Address
200 Vesey St Fl 04, New York, NY 10281
Phone number
(646) 521-6700
Established
Delaware since 07/01/2004
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JONES, DAVID RODERICKCHIEF EXECUTIVE OFFICER2389684
CASTLEOAK MANAGEMENT, LLCGENERAL PARTNER
GOMEZ, LUIS JFINOP AND PRINCIPAL FINANCIAL OFFICER4974439
IPPOLITO, PHILIPCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1072137
SKINNER, JEFFREY THOMASSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4078336

Disclosures

Regulatory Event2
Civil Event1

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

CASTLEOAK SECURITIES, LP

CRD#: 125334New York, NY 10281

TRUST BUT VERIFY

Monitor Richard Holley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics