Serafino B. Tobia
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.
Serafino Bruno Tobia was a registered financial professional .
Serafino is a previously registered financial professional and started their career in finance in 1984. Serafino had worked at 4 firms and has passed the Series 63, SIE, Series 52, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2017 - November 6, 2020
GREYSTONE BROKER DEALER CORP
August 27, 1997 - March 21, 2002
GREYSTONE CAPITAL HOLDINGS CORPORATION
March 19, 1992 - February 14, 1997
LEHMAN BROTHERS INC.
December 8, 1987 - February 5, 1992
J.P. MORGAN SECURITIES INC.
January 25, 1984 - April 9, 1984
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
GREYSTONE BROKER DEALER CORP
CRD#: 284359 / SEC#: , 8-69800
Contact information
Documents
Red Flags
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