MT
Monte Traficante
SIEBERT ADVISORNXT.
Beverly Hills, CA 90212
Some features on this profile are disabled
CRD#: 1277462
MT
Professional summary
Monte Traficante is a registered financial advisor currently at SIEBERT ADVISORNXT, LLC. located in Beverly Hills, California and MURIEL SIEBERT & CO., LLC located in Beverly Hills, California.
Monte is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Monte has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name of Business: Siebert AdvisorNxt, LLC Investment Related: Yes Location: Same location as Muriel Siebert, & Co., LLC Nature of business: Investment Advisory Firm Position, Title or Relationship: Dual employee. Investment Advisor Representative Approximate number of hours: Full time. Time split 50/50 between Muriel Siebert & Co., LLC and Siebert AdvisorNxt, LLC, subject to monthly change Compensation at both entities paid by same parent company, Siebert Financial Corporation as both are under common ownership and control of parent company.
CRS (Client Relationship Summary) - RIA
Click below to view Monte Traficante's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 15, 2018 - Present
SIEBERT ADVISORNXT, LLC.
Office #1: 9378 Wilshire Blvd., Beverly Hills, CA 90212RIA
CRD#: 288572
Beverly Hills, CA
Current
January 2, 2018 - Present
MURIEL SIEBERT & CO., LLC
Office #1: 9378 Wilshire Blvd Suite 300, Beverly Hills, CA 90212BD
CRD#: 5376
Beverly Hills, CA
Past
December 5, 2008 - December 31, 2017
STOCKCROSS FINANCIAL SERVICES, INC.
RIA
CRD#: 6670
BEVERLY HILLS, CA
Past
January 3, 2007 - December 31, 2017
STOCKCROSS FINANCIAL SERVICES, INC.
BD
CRD#: 6670
BEVERLY HILLS, CA
Past
November 7, 1997 - December 4, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
BEVERLY HILLS, CA
Past
September 27, 1993 - November 7, 1997
KENNEDY, CABOT & CO.
BD
CRD#: 2417
BEVERLY HILLS, CA
Past
July 9, 1993 - September 13, 1993
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
January 18, 1993 - July 9, 1993
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
SIEBERT ADVISORNXT, LLC.
SIEBERT ADVISORNXT, INC. | SIEBERT ADVISORNXT, LLC.
CRD#: 288572 / SEC#: 801-110718
RIA
Registered Investment Advisory firm - (7/11/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/20/2020)
RR
Alaska(6/5/2018)
RR
Arizona(1/3/2018)
RR
California(1/3/2018)
IAR
California(3/15/2018)
RR
Colorado(1/3/2018)
RR
Florida(2/20/2018)
RR
Georgia(10/31/2023)
RR
Hawaii(2/1/2018)
RR
Illinois(2/2/2018)
RR
Iowa(1/8/2018)
RR
Louisiana(1/3/2018)
RR
Maryland(1/3/2018)
RR
Massachusetts(1/5/2018)
RR
Minnesota(1/16/2018)
RR
Missouri(6/26/2020)
RR
Montana(2/2/2018)
RR
Nebraska(1/3/2018)
RR
Nevada(5/23/2023)
RR
New Jersey(1/3/2018)
RR
New Mexico(1/3/2018)
RR
New York(1/3/2018)
RR
Ohio(1/3/2018)
RR
Oregon(1/3/2018)
RR
Pennsylvania(1/3/2018)
RR
South Carolina(1/3/2018)
RR
Tennessee(4/13/2023)
RR
Texas(2/2/2018)
RR
Utah(1/3/2020)
RR
Virginia(4/27/2021)
RR
Washington(1/11/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/21/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
SIEBERT ADVISORNXT, LLC.
SIEBERT ADVISORNXT, INC. | SIEBERT ADVISORNXT, LLC.
CRD#: 288572 / SEC#: 801-110718
RIA
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Contact information
Main Address
300 Vesey Street 5th Floor, New York, NY, 10282
Mailing Address
653 Collins Avenue, Miami Beach, FL 33139
Phone number
(800) 872-0444
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 786 |
| AUM (Assets Under Management) | $ 287,623,668 |
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.
