Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Joseph Sgueglia is a registered representative with BGC Financial, LP with over 29 years of experience in the securities industry. Richard Sgueglia is currently licensed in New York and New Jersey. He holds FINRA Series 7, 24, 55, 57TO, 63, 99TO, and SIE licenses and his registrations date back to 1994. Previously, Richard Sgueglia was registered with Ticonderoga Securities LLC, Collins Stewart LLC., Collins Stewart Inc., Tullett Liberty Securities Inc., Burlington Capital Markets Inc., Fleet Securities, Inc., Laidlaw Global Securities, Inc., Schroder Wertheim & Co. Incorporated, and Dean Witter Reynolds Inc. Richard Sgueglia’s experience spans a variety of financial services firms including investment banking, brokerage, and institutional trading.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
08/20/2015 - Present
BGC Financial, LP (JERICHO NY)
NY
02/27/2012 - 08/19/2015
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
08/14/2009 - 01/31/2012
TICONDEROGA SECURITIES LLC (NEW YORK NY)
NY
08/10/2007 - 08/17/2009
COLLINS STEWART LLC. (NEW YORK NY)
NY
10/17/2006 - 08/10/2007
COLLINS STEWART INC. (NEW YORK NY)
NY
01/08/2005 - 12/05/2006
TULLETT LIBERTY SECURITIES INC. (NEW YORK NY)
NY
06/17/2002 - 01/26/2005
BURLINGTON CAPITAL MARKETS INC. (NEW YORK NY)
TX
07/02/1998 - 06/10/2002
FLEET SECURITIES, INC. (DALLAS TX)
NY
03/11/1996 - 06/15/1998
LAIDLAW GLOBAL SECURITIES, INC. (NEW YORK NY)
NY
03/17/1995 - 03/11/1996
SCHRODER WERTHEIM & CO. INCORPORATED (NEW YORK NY)
NY
07/11/1994 - 03/09/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 08/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/23/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/09/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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