Therese L. Piamenta
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.
Therese Lynn Piamenta, who also goes by Therese Lynn Turek, was a registered financial professional .
Therese is a previously registered financial professional and started their career in finance in 1984. Therese had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2013 - November 18, 2013
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
December 20, 2010 - June 1, 2011
TICONDEROGA SECURITIES LLC
September 9, 2004 - September 7, 2010
RAYMOND JAMES & ASSOCIATES, INC.
September 1, 1998 - March 6, 2002
CITIGROUP GLOBAL MARKETS INC.
September 26, 1994 - September 1, 1998
SALOMON BROTHERS INC.
February 21, 1990 - August 30, 1994
LEHMAN BROTHERS INC.
July 31, 1987 - December 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 25, 1984 - July 31, 1985
LEHMAN BROTHERS 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
Series 55
Date: 12/20/2007
Limited Representative-Equity Trader ExamCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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