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CS

Cori M. Sicari

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CRD#: 1407391
CS

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.

Cori Marie Sicari was a registered financial professional .

Cori is a previously registered financial professional and started their career in finance in 1985. Cori had worked at 11 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 18, 2013 - October 14, 2014

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
NEW YORK, NY
Past

April 5, 2011 - January 4, 2012

MONARCH FINANCIAL CORPORATION OF AMERICA

BD
CRD#: 23437
NEW YORK, NY
Past

January 7, 2008 - April 23, 2009

GAR WOOD SECURITIES, LLC

BD
CRD#: 138033
NEW YORK, NY
Past

May 13, 2002 - January 13, 2006

LEERINK PARTNERS LLC

BD
CRD#: 39011
NEW YORK, NY
Past

March 1, 2002 - April 17, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

April 25, 1997 - March 1, 2002

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

September 2, 1993 - February 24, 1997

AUTRANET, LLC

BD
CRD#: 8192
JERSEY CITY, NJ
Past

April 22, 1992 - July 15, 1992

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

July 30, 1990 - March 18, 1993

EXECUTION SERVICES INCORPORATED

BD
CRD#: 7570
NEW YORK, NY
Past

July 18, 1988 - July 5, 1990

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

September 24, 1985 - July 2, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/2/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination

Current Firm

B&
BENJAMIN & JEROLD BROKERAGE I, LLC
ALTERNATIVE INVESTMENT STORE | OPAL CAPITAL GROUP | MCCAULEY GROUP | GLOBAL SHARES EXECUTION SERVICES | GGK GROUP | DA GAMA PARTNERS | D.E. MACGOWN & CO | CURATED CAPITAL GROUP | BENJAMIN & JEROLD BROKERAGE, INC. | BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110 / SEC#: , 8-44133

BD
Terminated by SEC on 04/13/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 02/01/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DOLAN, TERENCE JR.CEO, CCO, AML, OWNER2352516

Disclosures

Regulatory Event6
Arbitration3

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.

Company Information

BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110

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