Andre H. Pozzuoli
Professional summary
Andre Henry Pozzuoli was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andre is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Andre had worked at 8 firms, which includes NOBLE CAPITAL MARKETS INC., HERZOG HEINE GEDULD LLC, UBS CAPITAL MARKETS L.P., ARISTO INVESTMENTS OF AMERICA INC., ATWOOD KENT SECURITIES INC., JEROLD SECURITIES & CO. INC., CITIWIDE SECURITIES CORP., BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2004 - December 31, 2008
NOBLE CAPITAL MARKETS, INC.
September 24, 1996 - June 27, 2001
HERZOG, HEINE, GEDULD, LLC
June 26, 1986 - August 22, 1996
UBS CAPITAL MARKETS L.P.
April 8, 1986 - July 14, 1986
ARISTO INVESTMENTS OF AMERICA, INC.
January 31, 1986 - July 1, 1986
ATWOOD KENT SECURITIES, INC.
June 17, 1985 - January 11, 1986
JEROLD SECURITIES & CO., INC.
February 17, 1984 - June 12, 1985
CITIWIDE SECURITIES CORP.
June 24, 1983 - November 18, 1983
BLINDER, ROBINSON & CO., 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
Series 55
Date: 4/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
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.
