Ricarda D. Levy
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.
Ricarda Dawn Levy, who also goes by Ricarda D Levy, Ricarda Dawn Schnapper, was a registered financial professional .
Ricarda is a previously registered financial professional and started their career in finance in 1978. Ricarda had worked at 11 firms and has passed the Series 63, 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
January 24, 2017 - September 17, 2019
DINOSAUR FINANCIAL GROUP, L.L.C
November 15, 2010 - January 11, 2017
BGC FINANCIAL, L.P.
July 5, 2005 - November 16, 2010
B. RILEY WEALTH MANAGEMENT
June 11, 1997 - June 28, 2005
FIRST BROKERS SECURITIES LLC
July 10, 1989 - May 30, 1997
DEALERWEB LLC
June 22, 1989 - May 30, 1997
HILLIARD FARBER SECURITIES CORP.
September 12, 1988 - February 3, 1990
INTERCAPITAL SECURITIES LLC
July 25, 1987 - June 20, 1989
GARBAN CAPITAL MARKETS LLC
April 28, 1982 - September 8, 1983
LEHMAN BROTHERS INC.
June 11, 1980 - January 13, 1982
VP DISTRIBUTORS LLC
September 25, 1978 - December 30, 1978
SOGEN-SWISS INTERNATIONAL CORPORATION
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
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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