Robert A. Vallone
Professional summary
Robert Alan Vallone was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Robert had worked at 7 firms, which includes TAFFERER TRADING LLC, HOLD BROTHERS CAPITAL LLC, SODALITE FINANCIAL SERVICES LLC, ROMANO BROTHERS AND COMPANY, ABN AMRO INCORPORATED, BERNARDI SECURITIES INC., NUVEEN SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2012 - October 12, 2012
TAFFERER TRADING, LLC
June 10, 2010 - October 15, 2012
HOLD BROTHERS CAPITAL LLC
September 19, 2006 - October 15, 2012
SODALITE FINANCIAL SERVICES, LLC
September 1, 2006 - August 10, 2012
TAFFERER TRADING, LLC
April 29, 1999 - August 25, 2006
ROMANO BROTHERS AND COMPANY
June 16, 1998 - April 20, 1999
ABN AMRO INCORPORATED
August 2, 1993 - May 29, 1998
BERNARDI SECURITIES, INC.
December 17, 1985 - September 21, 1992
NUVEEN SECURITIES, LLC
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 8
Date: 1/20/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TAFFERER TRADING, LLC
CRD#: 36816 / SEC#: , 8-47474
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLD BROTHERS INC. | HOLDING CORPORATION | |
| HOLD, GREGORY FRANCIS | CHIEF EXECUTIVE OFFICER | 2169408 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
