Burt L. Stangarone
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.
Burt Leonard Stangarone, who also goes by Umberto L Stangarone, was a registered financial professional .
Burt is a previously registered financial professional and started their career in finance in 1982. Burt had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2017 - October 15, 2018
FORTE SECURITIES LLC
October 28, 2015 - May 17, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
September 28, 2009 - October 30, 2015
BRILL SECURITIES, INC.
June 17, 2003 - October 18, 2007
COWEN AND COMPANY
October 10, 2000 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
February 22, 1989 - October 10, 2000
PERSHING LLC
September 24, 1982 - March 2, 1989
TP ICAP GLOBAL MARKETS AMERICAS LLC
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 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
FORTE SECURITIES LLC
CRD#: 38373 / SEC#: , 8-48201
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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