Michael Pantoliano
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.
Michael Pantoliano was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 57, Series 3, Series 55, Series 5, Series 15, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2017 - February 22, 2021
FORTE SECURITIES LLC
April 1, 2010 - April 6, 2011
SECUREVEST FINANCIAL GROUP
January 22, 2003 - November 13, 2007
NATIXIS SECURITIES NORTH AMERICA INC.
February 28, 2002 - December 18, 2002
LEHMAN BROTHERS INC.
May 20, 1985 - February 14, 2002
PERSHING LLC
April 17, 1984 - April 29, 1985
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/10/2020
General Securities Representative ExaminationSeries 55
Date: 11/9/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 12/14/1989
Interest Rate Options ExaminationSeries 15
Date: 9/22/1989
Foreign Currency Options ExaminationCurrent 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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