Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Ricca is a financial professional with over 20 years of experience in the financial services industry. Robert has held various roles at several firms, including Hold Brothers Capital LLC, RJL Capital Group, LLC, Davis Securities LLC, Du Pasquier & Co., Inc., and Corinthian Partners, L.L.C. Robert holds multiple licenses and designations, including Series 66, Series 63, Series 65, Series 14, Series 4, Series 53, Series 24, Series 99TO, Series 57, and Series 87. Robert is currently registered with Hold Brothers Capital LLC and is licensed to conduct business in California, New Jersey, and New York.
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.
1
2
NY
01/05/2016 - Present
Hold Brothers Capital LLC (New York NY)
NY
02/17/2015 - 09/08/2015
RJL CAPITAL GROUP, LLC (NEW YORK NY)
NY
08/07/2006 - 02/13/2015
DAVIS SECURITIES LLC (NEW YORK NY)
NY
01/16/2003 - 05/12/2005
DU PASQUIER & CO., INC. (NEW YORK NY)
NY
05/21/2002 - 02/10/2003
CORINTHIAN PARTNERS, L.L.C. (NEW YORK NY)
BOTH
Issued 11/26/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/18/2002
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/31/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/06/2010
Series 4 - Registered Options Principal Examination
BC
Issued 06/26/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/19/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2016
Series 57 - Securities Trader Exam
BC
Issued 12/15/2010
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 05/20/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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