Richard L. Palatucci
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 Louis Palatucci was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 11 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 1994 - August 6, 2015
O'BRIEN & SHEPARD, INC.
January 12, 1989 - March 9, 1994
BROUNOFF, CLAIRE & CO., INC.
February 9, 1988 - February 8, 1989
DAHLKE & CO., INC.
November 28, 1983 - January 1, 1988
MORGAN STANLEY & CO. LLC
September 15, 1982 - November 23, 1983
CIBC WORLD MARKETS CORP.
August 19, 1980 - June 16, 1982
BECKER PARIBAS INCORPORATED
January 30, 1980 - July 13, 1980
CITIGROUP GLOBAL MARKETS INC.
September 17, 1979 - November 12, 1979
LEHMAN BROTHERS INC.
January 18, 1978 - September 17, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
January 26, 1977 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
O'BRIEN & SHEPARD, INC.
CRD#: 7152 / SEC#: , 8-19348
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
