Alfred V. Scerbo
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 Victor Scerbo JR, who also goes by Alfred VIctor Scerbo, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1983. Alfred had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 7, Series 24, Series 14, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2019 - December 6, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
January 26, 2017 - September 4, 2018
AEGIS CAPITAL CORP.
January 23, 2017 - September 4, 2018
AEGIS CAPITAL CORP.
January 2, 2008 - February 17, 2017
B. RILEY WEALTH ADVISORS, INC.
January 27, 2006 - February 17, 2017
NATIONAL SECURITIES CORPORATION
March 5, 2003 - September 7, 2005
CHASE INVESTMENT SERVICES CORP.
February 13, 2001 - May 9, 2001
ICAPITAL MARKETS LLC
May 19, 1998 - November 14, 2000
JOSEPH STEVENS & CO., INC.
June 11, 1997 - October 23, 1997
CHASE INVESTMENT SERVICES CORP.
April 2, 1997 - May 27, 1997
LT LAWRENCE & CO., INC.
March 7, 1995 - October 18, 1996
GRUNTAL & CO., L.L.C.
August 5, 1991 - January 18, 1995
J.P. MORGAN CLEARING CORP.
May 17, 1991 - January 18, 1995
J.P. MORGAN SECURITIES LLC
November 22, 1983 - December 12, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
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 8
Date: 5/13/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST STANDARD FINANCIAL COMPANY LLC
CRD#: 168340 / SEC#: , 8-69300
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
