Gaeton S. Dellapenna
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.
Gaeton Stark Dellapenna, who also goes by Guy Dellapenna, was a registered financial professional .
Gaeton is a previously registered financial professional and started their career in finance in 1984. Gaeton had worked at 3 firms and has passed the Series 63, Series 7, Series 22, Series 27, Series 39 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
November 2, 2001 - February 25, 2002
WINDSOR STREET CAPITAL, LP
January 16, 1990 - November 12, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
April 21, 1986 - July 6, 1989
FAS WEALTH MANAGEMENT SERVICES, INC.
October 29, 1985 - May 27, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 27, 1984 - November 5, 1985
FAS WEALTH MANAGEMENT SERVICES, 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
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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