Amihai Sasson
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.
Amihai Sasson, who also goes by Ami Sasson, was a registered financial professional .
Amihai is a previously registered financial professional and started their career in finance in 2000. Amihai had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2016 - January 3, 2018
CAPITAL ONE INVESTING, LLC
September 19, 2012 - June 30, 2014
SANTANDER SECURITIES LLC
July 28, 2011 - September 19, 2012
LPL FINANCIAL LLC
October 9, 2006 - April 20, 2011
HSBC SECURITIES (USA) INC.
March 15, 2005 - September 19, 2006
CAPITAL ONE INVESTMENT SERVICES LLC
December 19, 2003 - August 20, 2004
CHASE INVESTMENT SERVICES CORP.
October 1, 2001 - December 16, 2003
METROPOLITAN LIFE INSURANCE COMPANY
October 1, 2001 - December 16, 2003
MSI FINANCIAL SERVICES, INC.
November 27, 2000 - October 10, 2001
PARK AVENUE SECURITIES LLC
July 24, 2000 - October 9, 2000
INVEST FINANCIAL CORPORATION
April 5, 2000 - July 5, 2000
BERKSHIRE EQUITY SALES, 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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
