Alfred V. Ferraro
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.
Alfred Vincent Ferraro JR, who also goes by Alfred VIncent Jr Ferraro, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1983. Alfred had worked at 6 firms and has passed the 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
June 6, 1994 - November 15, 2000
WMA SECURITIES, INC.
January 5, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 12, 1993 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 26, 1989 - October 13, 1993
USLIFE EQUITY SALES CORP.
April 24, 1984 - July 2, 1984
ANFS, INC.
October 14, 1983 - September 12, 1984
HOWE, SOLOMON & HALL, INC.
May 25, 1983 - December 31, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
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
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
