Neil Desarno
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.
Neil Desarno was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1983. Neil had worked at 6 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 1998 - September 24, 2012
ROSENTHAL GLOBAL SECURITIES LLC
November 3, 1997 - January 22, 1998
CIBC WORLD MARKETS CORP.
August 16, 1995 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
September 1, 1988 - August 2, 1995
S.G. WARBURG & CO. INC.
June 28, 1988 - September 1, 1988
S.G. WARBURG SECURITIES INC.
June 22, 1983 - May 6, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Exams
Current Firm
ROSENTHAL GLOBAL SECURITIES LLC
CRD#: 19721 / SEC#: , 8-38021
Contact information
Documents
Red Flags
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