Paul F. Fornataro
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.
Paul Francis Fornataro was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2014 - November 28, 2016
TD AMERITRADE, INC.
January 17, 2014 - November 28, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 17, 2014 - November 28, 2016
TD AMERITRADE, INC.
July 30, 2013 - December 19, 2013
LPL FINANCIAL LLC
July 30, 2013 - December 19, 2013
LPL FINANCIAL LLC
July 6, 2005 - November 30, 2012
CHARLES SCHWAB & CO., INC.
July 6, 2005 - November 30, 2012
CHARLES SCHWAB & CO., INC.
September 11, 2003 - November 10, 2004
TD AMERITRADE, INC.
February 26, 1999 - November 10, 2004
TD AMERITRADE, INC.
October 29, 1998 - March 23, 1999
QUEST CAPITAL STRATEGIES, INC.
February 8, 1988 - December 5, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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