Richard A. Russo
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 Antone Russo Sr., who also goes by Richard Antone Russo Sr, Richard Antone Russo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2016 - May 18, 2020
CHELSEA FINANCIAL SERVICES
November 23, 2015 - November 30, 2015
IFS SECURITIES
July 2, 2013 - November 20, 2015
IFS SECURITIES
February 15, 2011 - July 18, 2013
NEWPORT COAST SECURITIES, INC.
February 14, 2011 - July 18, 2013
NEWPORT COAST SECURITIES, INC.
March 9, 2009 - January 25, 2011
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
July 18, 2007 - January 25, 2011
J.P. TURNER & COMPANY, L.L.C.
May 31, 2001 - July 24, 2007
BROOKSTREET SECURITIES CORPORATION
December 7, 2000 - July 24, 2007
BROOKSTREET SECURITIES CORPORATION
August 3, 1996 - December 15, 2000
WEDBUSH SECURITIES INC.
September 18, 1990 - August 7, 1996
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1987 - September 7, 1990
MORGAN STANLEY DW INC.
October 3, 1977 - January 8, 1987
BATEMAN EICHLER, HILL RICHARDS, 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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 8
Date: 8/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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