Joseph R. Rizzo
Professional summary
Joseph Richard Rizzo JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph Richard Rizzo JR, who also goes by Joseph R. Rizzo, Joseph Rizzo, was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1979. Joseph had worked at 4 firms and has passed the Series 65, Series 63 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
October 13, 2009 - September 8, 2011
SECURITIES AMERICA, INC.
January 30, 2009 - November 8, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
January 30, 2009 - November 8, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
June 30, 2006 - February 6, 2009
JANNEY MONTGOMERY SCOTT LLC
October 29, 1990 - February 6, 2009
JANNEY MONTGOMERY SCOTT LLC
May 10, 1979 - November 15, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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