Hugo A. Perotti
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.
Hugo August Perotti JR, who also goes by Augie Perotti, Hugo August Perotti, was a registered financial professional .
Hugo is a previously registered financial professional and started their career in finance in 1985. Hugo had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 1998 - December 16, 1999
NETWORK 1 FINANCIAL SECURITIES INC.
October 1, 1996 - October 21, 1996
MORGAN GRANT CAPITAL CORP.
October 5, 1994 - January 30, 1995
NETWORK 1 FINANCIAL SECURITIES INC.
April 27, 1993 - November 16, 1993
FIRST AFFILIATED SECURITIES
January 16, 1992 - December 9, 1992
S. D. COHN & CO., INC.
May 13, 1991 - October 31, 1991
MANCHESTER RHONE SECURITIES CORP.
March 4, 1991 - April 30, 1991
BERKELEY SECURITIES CORPORATION
December 16, 1988 - February 19, 1991
R.H.DAMON & CO., INC.
October 15, 1986 - December 31, 1988
F.N. WOLF & CO., INC.
June 30, 1986 - October 27, 1986
PHILIPS, APPEL & WALDEN, INC.
May 21, 1985 - June 30, 1986
S. D. COHN & CO.
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
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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.
