Linda D. Forbes
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.
Linda Diane Forbes, who also goes by Linda Forbes, Linda Diane Trittipo, Linda Trittipo, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1987. Linda had worked at 8 firms and has passed the Series 63, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2014 - May 7, 2014
NATIONAL SECURITIES CORPORATION
October 21, 2005 - March 16, 2012
PACIFIC WEST SECURITIES, INC.
June 8, 2005 - July 20, 2005
WELLS FARGO INVESTMENTS, LLC
May 16, 2000 - February 25, 2005
PIPER SANDLER & CO.
September 25, 1998 - April 15, 2003
U.S. BANCORP INVESTMENTS, INC.
April 29, 1998 - July 30, 1998
CITIGROUP GLOBAL MARKETS INC.
February 24, 1995 - April 2, 1998
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1993 - February 9, 1994
CITIGROUP GLOBAL MARKETS INC.
September 16, 1987 - June 2, 1992
SEAFIRST SECURITIES, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
