Chris A. Tempesta
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.
Chris Anthony Tempesta was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1989. Chris had worked at 11 firms and has passed the Series 63, Series 55, Series 25 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
January 24, 2012 - August 22, 2012
MONTECITO ADVISORS, INC.
September 16, 2009 - April 20, 2010
E&J SECURITIES CORP.
March 23, 2009 - September 23, 2009
TAG SECURITIES CORP.
March 30, 2006 - November 3, 2009
LEK SECURITIES CORPORATION
August 26, 2005 - March 30, 2006
TD PRIME SERVICES LLC
September 29, 2003 - January 3, 2005
LEK SECURITIES CORPORATION
June 10, 2003 - October 1, 2003
LABRANCHE FINANCIAL SERVICES, LLC
May 29, 2003 - April 16, 2009
LL PARTNERS, INC.
September 9, 2002 - May 29, 2003
MOGAVERO LEE & CO INC.
May 23, 2001 - August 21, 2002
UBS SECURITIES LLC
March 22, 1990 - June 25, 2001
UBS FINANCIAL SERVICES INC.
April 18, 1989 - May 11, 1989
BOYE HOLDINGS 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: 11/14/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 7/20/1999
NYSE Trading Assistant ExaminationCurrent Firm
MONTECITO ADVISORS, INC.
CRD#: 104004 / SEC#: , 8-52471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GENADRY, ELIE MICHEL | CHAIRMAN OF THE BOARD, LTD PRINCIPAL | 721443 |
| BANERJEE, DEBASISH ("NMN") | CO-FINOP | 1555979 |
| KAPERNEKAS, ATHANASIOS G | TRADE RISK MANAGER | 4183213 |
| WOLF, ALEXANDER VICTOR | CFO, CO-FINOP | 2155490 |
| WOLF, ALEXANDER VICTOR | GSP | 2155490 |
| ZOPP, MELANIE ALANE | CHIEF COMPLIANCE OFFICER, GSP | 4671608 |
| ZOPP, MELANIE ALANE | CEO | 4671608 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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